VIE: Ha Noi and Ho Chi Minh City Power Grid Development Sector Project

Transcription

1 RESETTLEMENT PLAN Project Number: December 2017 VIE: Ha Noi and Ho Chi Minh City Power Grid Development Sector Project Prepared by Hanoi City Power Corporation, Electricity of Vietnam for Asian Development Bank

2 Resettlement Plan Stage of the document: Updated Project/loan number: 3161/8286-VIE December 2017 Viet Nam: Ha Noi and Ho Chi Minh City Power Grid Development Sector Project EVN HANOI: 110 kv Ba Vi Substation Subproject Prepared by the Hanoi Power Corporation (EVN HANOI) for the Asian Development Bank (ADB). 2

3 CURRENCY EQUIVALENTS (as of December 2017) USD $ 1 = VND $22,760 ACRONYMS AND ABBREVIATIONS ADB - Asian Development Bank AHs - affected households APs - affected persons CP - compensation plan CPC - Commune People s Committee DCARB - District Compensation, Assistance and Resettlement Board DMS - detailed measurement survey DPC - District Peoples Committee DPs - displaced persons EA - executing agency EMA - external monitoring agency GOV - Government of Viet Nam IA - implementing agency IOL - inventory of losses km - kilometer kv - kilovolt LURC - land use right certificate MOLISA - Ministry of Labor, Invalid and Social Affairs MONRE - Ministry of Natural Resources and Environment m² - square meter MFF - multi-tranche financing facility NPT - National Power Transmission Corporation PECC3 - Power Engineering Consulting Joint Stock Company 3 PIB - Public Information Brochure PIC - Project Implementation Consultants PPC - Provincial People s Committee RCS - replacement cost study ROW - right-of-way RP - Resettlement plan SPPMB - Southern Vietnam Power Project Management Board SES - socioeconomic survey SPS - Safeguard Policy Statements TA - technical assistance TL - transmission line VND - Vietnam Dong (Vietnamese Currency) This Resettlement Plan is a document of the borrower. The views expressed herein do not necessarily represent those of ADB's Board of Directors, Management, or staff, and may be preliminary in nature. Your attention is directed to the terms of use section on ADB s website. In preparing any country program or strategy, financing any project, or by making any designation of or reference to a particular territory or geographic area in this document, the Asian Development Bank does not intend to make any judgments as to the legal or other status of any territory or area. 3

4 TABLE OF CONTENTS DEFINITION OF TERMS... 7 I. EXECUTIVE SUMMARY... 9 A. Background... 9 B. Scope of Resettlement Impacts... 9 C. Socioeconomic Information...10 D. Information Disclosure, Consultation, and Participation...10 E. Grievance Redress Mechanism...11 F. Legal Framework...11 G. Entitlements, Assistance, and Benefits...11 H. Relocation of Housing and Settlement...12 I. Income Restoration...12 J. Resettlement Budget and Financing Plan...12 K. Institutional Arrangement...12 L. Implementation Schedule...12 M. Monitoring...13 II. INTRODUCTION...14 A. Project Background...14 B. Description of the Subproject 110 kv Ba Vi Substation...14 C. Measures Undertaken to Minimize Subproject Impacts...15 III. SCOPE OF LAND ACQUISITION AND RESETTLEMENT...16 B. Impacts on Land...16 C. Structures...17 D. Crops and Trees...17 E. Impacts on Business Shops...18 F. Impacts on Public Properties...18 G. Severely Affected Households...18 H. Vulnerable Groups...18 IV. SOCIOECONOMIC INFORMATION...18 A. Subproject Area...18 B. Socioeconomic Profile of the Affected Households...19 C. Gender Issues...22 V. CONSULTATION, PARTICIPATION AND DISCLOSURE...22 A. Objectives of Information Disclosure and Public Consultation...22 B. Stages of Participatory Consultations...24 C. Information Disclosure and Public Consultation during project Preparation

5 D. Public Consultations during project implementation...27 VI. GRIEVANCE REDRESS MECHANISM...28 VII. LEGAL FRAMEWORK...30 A. ADB Policies...30 B. Compensation and Resettlement Policy of the Government of Viet Nam...32 C. Gaps Analysis and Project Principles...35 D. Project Policy Commitments...40 VIII. ENTITLEMENTS, ASSISTANCE AND BENEFITS...41 A. Principles on Compensation, Assistance and Resettlement...41 B. Eligibility...43 C. Specific entitlements of APs...43 D. Special Considerations...48 E. Unforeseen Impacts...48 IX. RELOCATION OF HOUSING AND SETTLEMENT...48 X. INCOME RESTORATION AND REHABILITATION...48 A. Background...48 B. Income Restoration Allowances...48 XI. RESETTLEMENT BUDGET AND FINANCING PLAN...49 A. Procedures for Flow of Funds...49 B. Cost Estimates and Inflation Adjustment...49 XII. INSTITUTIONAL ARRANGEMENTS...50 A. Central Level...50 B. City Level...51 XIII. IMPLEMENTATION SCHEDULE...52 XIV. MONITORING AND REPORTING...53 A. Monitoring and Reporting...53 B. Internal Monitoring...53 ANNEX 1. IOL AND SES QUESTIONNAIRE...54 SOCIO-ECONOMIC SURVEY AND INVENTORY OF LOSSES QUESTIONNAIRE...54 ANNEX 2. PROJECT INFORMATION BOOKLET...62 ANNEX 3. AGREEMENT ON ACCESS ROAD TO 100KV BA VI SS CROSSING THE IRRIGATION CANAL T4 FROM SONG TICH IRRIGATION ONE MEMBER LIMITED LIABILITY COMPANY...66 ANNEX 4: LIST OF AFFECTED PEOPLE

6 LIST OF TABLES AND FIGURES Table 1. Implementation Schedule...12 Table 3. Number of PAHs by category...16 Table 4. Use of Permanently Acquired Land for Tower Foundations...16 Table 8. Vulnerable Households in the Subproject Area...18 Table 9. Surveyed AHs and Gender of Household Heads...19 Table 10. Population Structure by Age Group...20 Table 11. Education Attainment of Surveyed Household Heads...20 Table 12. Occupational Structure of the Affected People by Commune...20 Table 13. Monthly Income of the Affected Households...21 Table 14. Water Sources of the Surveyed AHs...22 Table 15. Energy Sources of the Surveyed AHs for Cooking...22 Table 16. Participatory Consultation in the Project Cycle...24 Table 17. Dates of Public Meetings and Consultations during RP Preparation...25 Table 18. Highlights of Public Consultations...26 Table 19. Gaps between Government policy and ADB SPS 2009 and policy for the project...37 Table 20. Entitlement Matrix...45 Table 21. Total Cost of RP Implementation...49 Table 22. Project Implementation Schedule...52 Figure 1. Location of the 110 kv Ba Vi SS

7 Affected (APs) Persons DEFINITION OF TERMS - Refers any person or persons, household, firms, or public or private institutions who on account of a development project would have their; (i) standard of living adversely affected; (ii) right, title or interest in all or any part of a house, land (including residential, commercial, agricultural, plantations, forest and/or grazing land), water resources or any other moveable or fixed assets acquired, possessed, restricted or otherwise adversely affected, in full or in part, permanently or temporarily; and/or (iii) business, occupation, place of work or residence, or habitat adversely affected, with or without displacement. DPs therefore include; i) persons affected directly by the right-of-way or construction work area; (ii) persons whose agricultural land or other productive assets such as trees, standing crops are affected; (iii) persons whose businesses are affected and who might experience loss of income due to the project impact; (iv) persons who lose work/employment as a result of project impact; and (v) people who lose access to community resources/property as a result of the project. Cut-off date - This refers to the date prior to which the occupation or use of the project area makes residents/users of the same eligible to be categorized as DP. In this Project, the cut-off date will coincide with the date of land acquisition announcement conducted by local authorities based on approved detailed design documents. Persons not covered in the project area before the cut-off date not eligible for compensation and other entitlements. Detailed Measurement survey (DMS) Displaced Persons (DPs) - With the aid of the approved detailed engineering design, this activity involves the finalization and/or validation of the results of the inventory of losses (IOL), severity of impacts, and list of DPs earlier done during RP preparation. The final cost of resettlement can be determined following completion of the DMS. - Per ADB s 2009 Safeguard Policy Statement, displaced persons in a project area could be of three types: (i) persons with legal rights to land lost in its entirety or in part; (ii) persons who lost the land they occupy in its entirety or in part who have no formal legal rights to such land, but who have claims to such land that are recognized or recognizable under national laws; and (iii) persons who lost the land they occupy in its entirety or in part who have neither formal legal rights nor nor recognized or recognizable claims to such land. Entitlements - Refers to a range of measures comprising compensation, income restoration support, transfer assistance, income substitution, relocation support, etc. which are due to the DPs, depending on the type and severity of their losses, to restore their economic and social base Meaningful Consultation - A process that (i) begins early in the project preparation stage and is carried out on an ongoing basis throughout the project cycle; (ii) provides timely disclosure of relevant and adequate information that is understandable and readily accessible to affected people; (iii) is undertaken in an atmosphere free of intimidation or coercion; (iv) is gender inclusive and responsive, and tailored to the needs 7

8 of disadvantaged and vulnerable groups; and (v) enables the incorporation of all relevant views of affected people and other stakeholders into decision making, such as project design, mitigation measures, the sharing of development benefits and opportunities, and implementation issues Inventory of loss - Is the process where all fixed assets (i.e., lands used for residence, commerce, agriculture, including ponds; dwelling units; stalls and shops; secondary structures, such as fences, tombs, wells; trees with commercial value; etc.) and sources of income and livelihood inside the Project right-of-way (ROW) are identified, measured, their owners identified, their exact location pinpointed, and their replacement costs calculated. Additionally, the severity of impact to the affected assets and the severity of impact to the livelihood and productive capacity of DPs will be determined. Resettlement - means all social and economic impacts that are permanent or temporary and are (i) caused by acquisition of land and other fixed assets, (ii) by change in the use of land, or (iii) restrictions imposed on land, as a result of a project. Replacement cost - The term used to determine the value enough to replace affected assets and/or cover transaction costs necessary to replace the affected assets without depreciation for such assets as well as material advantage, taxes and/or travel expenses. Vulnerable Group - These are distinct groups of people who might suffer disproportionately or face the risk of being further marginalized by the effects of resettlement and specifically include: (i) female headed households with dependents, (ii) disabled household heads, (iii) households falling under the national poverty standard, (iv) children and the elderly households who are landless and with no other means of support, and (v) landless households, and (vi) ethnic minorities with severe impact. 8

9 A. Background I. EXECUTIVE SUMMARY 1. The 110 kv Ba Vi Substation and Connection Subproject under the Hanoi- Ho Chi Minh City Power Grid Development Sector Project is financed by the ADB. The Subproject 110 kv Ba Vi Substation (SS) and its connection aims to complete the Power Development Planning of Hanoi City for the period with consideration up to The development of the 110 kv Ba Vi Substation and 110 kv connection line supplying power to the substation aims to timely meet the development demands of the loads and reduce the losses of the grid, which is necessary and urgent. At the same time, when the substation is put into operation, it will meet the power supply and capacity demands of Ba Vi District, and supply power to the neighboring area in order to promote the socioeconomic development of the entire project area in particular and of Ha Noi City in general. 2. The subproject consists of two components including (i) 110 kv Ba Vi SS; and (ii) 110 kv connection line from 220 kv Son Tay SS to 110 kv Ba Vi SS. 3. This updated Resettlement Plan (urp) is prepared for the 110 kv Ba Vi SS component of the subproject based on the results of the Detailed Measurement Survey (DMS) for affected assets of the affected households (AHs) of the Subproject. The results of consultation, participation and information dissemination to AHs and stakeholders in the urp preparation process are also incorporated. No civil works for this subproject can begin until the final RP has been approved and endorsed by the Asian Development Bank (ADB). B. Scope of Resettlement Impacts 4. The 110 kv Ba Vi SS requires permanent land acquisition for the construction of the substation. A total 6,020.7 m 2 of land are permanently acquired for the 110 kv Ba Vi SS. The access road from the Provincial Road 411 to the 110 kv Ba Vi Substation will cross over the irrigational canal T4 at the station K2+600 in Yen Bo Hamlet, Vat Lai Commune. The design of the access road has been consulted with the Tich River Irrigation Limited Liability Company, the managing unit of the irrigational canal, to avoid impacts on the irrigational works during construction. The Company has agreed with the construction of the access road to the 110 kv Ba Vi SS upon the conditions that the design of the box culvert should ensure the water flow and in consistent with the planning of the T4 canal to avoid impacts on people s farming activities. However, if the unanticipated impacts are emerged during construction, such impacts will be compensated and supported per the project policy framework and this updated RP households and one Commune People s Committee (CPC) will be affected by the subproject. The 44 households made up of 186 persons will be affected by permanent land acquisition. None of them is severely affected household. The subproject does not cause any impact on houses and structures. 6. All of the permanently acquired land is agricultural land being used to grow rice and seasonal crops. 7. There are 12 vulnerable households in the subproject area including 11 female-headed households and one poor household. 9

10 C. Socioeconomic Information 8. A socioeconomic survey (SES) of 44 AHs (100%) was carried out in December Among those surveyed, 75% were headed by men while 25% were headed by women. The 44 surveyed AHs were made up of 186 persons, equivalent to an average household size of 4.22 persons. Majority of the household heads (45.7%) finished secondary school. 58.6% of the household heads were engaged in agriculture-related livelihood activities. 9. There is one household whose income is under poverty line (below VND 1,100,000/person/month). 1 However, none of the households have the monthly per capita income level at the near-poor level. Most of the households (20 AHs or 45.5%) have monthly household income above VND 6 million % of the affected households use dug well water while 27.3% use drilled well water and then filter water by primitive methods at home for cooking and drinking purposes; 100% of the households use national grid for lighting. 38.6% of the AHs use gas and 61.4% use firewood as energy sources for cooking. D. Information Disclosure, Consultation, and Participation 11. Public meetings and consultations were conducted from January to March 2017 by Hanoi Power Development Project Management Board (Hanoi DPMB) and the consultants and identified the different stakeholders of the Project, such as: (i) Commune Peoples Committees (CPCs); (ii) mass organizations; (iii) the residents who are not APs; and (iv) the APs. In those meetings, they were given Project Information Booklets (PIBs) and discussed the topics related to the preparation of RP including (i) project s key information and salient features; (ii) list of affected districts and communes and expected scope if impacts for the substation and its connections; (iii) objectives and principles of the resettlement plan as required by the Government and Safeguard Requirements 2 (SR2) of the 2009 ADB s Safeguard Policy Statement (SPS); (iv) IOL and SES results; (v) income restoration allowances; (vi) compensation and resettlement options; (vii) gender issues and vulnerable groups; and (viii) mechanisms for APs participation, grievance redress, monitoring and evaluation in RP preparation, updating, and implementation stages. 12. Representatives of mass organizations in all communes concern have also attended, such as Vietnam Women s Union, Fatherland Front and Vietnam Farmers Union. The meetings and consultations, all held in CPC offices, were attended by 51 local officials and residents that consisted of 36 males and 15 females. 13. All of the participants have given their board support for the Project during the public consultations. Their primary concern and request is that compensation rates for affected land should be close to the market prices. 14. Following the conduct of the IOL and SES, a second round of public meeting-consultations with the AHs were carried out in August 2017 for the purposes of (i) presenting the results of the surveys; (ii) discussing the project resettlement policy, particularly its objectives, principles, entitlements, and the policy on cut-off date for eligibility to project entitlements; and 1 Decision No. 12/2016/QD-UBND by Hanoi City People s Committee issuing poverty and near-poverty standards of Hanoi City for the periods. 10

11 (iii) soliciting their views and suggestions regarding the resettlement policy, especially with regard to compensation and cash assistance. A total of 49 persons participated in those meeting-consultations held in the affected commune. 15. All of the consulted people have given their board support for the Project during the public consultations. Their primary concerns and requests have been recorded and explained by the Hanoi DPMB and Land Fund Development Branch regarding relevant provisions of the project resettlement policy, particularly on compensation and the need to minimize adverse social impacts and explaining the environmental management plan of the project. E. Grievance Redress Mechanism 16. In order to ensure that all APs grievances and complaints on any aspect of land acquisition, compensation and resettlement are addressed in a timely and satisfactory manner, and that all possible avenues are available to affected persons to air their grievances, a well-defined grievance redress mechanism has been established. All APs can send any questions to implementation agencies about their rights in relation with entitlement of compensation, compensation policy, rates, land acquisition, resettlement, allowance and income restoration. APs are not ordered to pay any fee during the grievance and complaints at any level of trial and court. Complaints will pass through stages such as Commune People s Committee (CPC), District People s Committee (DPC), and Ha Noi City People s Committee (City PC) before they can be elevated to a court of law as a last resort. F. Legal Framework 17. The project resettlement policy and entitlements have been developed from the laws of the Government of the Socialist Republic of Viet Nam (GOV), principally the Constitution (2013); 2013 Land Law N 45/2013/QH13 dated November , providing Viet Nam with a comprehensive land administration law; Decree N 43/2014/ND-CP dated May guiding implementation of some articles of the Land Law 2013; Decree No. 47/2014/ND-CP dated May on compensation, rehabilitation and resettlement in the event of land recovery by the State; Decree No 44/2014/ND-CP dated May on land prices; and ADB s Safeguard Policy Statement (SPS June 2009) guided by Operations Manual on Involuntary Resettlement (OM Section F1/OP, on 1 October 2013). 18. Provisions and principles adopted in this project will supplement the provisions of relevant decrees currently in force in Viet Nam wherever a gap exists, consistent with 2013 Land Law and Decree N 16/2016/ND-CP which provides that in case of discrepancy between any provision in an international treaty on Official Development Assistance (ODA), to which the Socialist Republic of Viet Nam is a signatory, and the Vietnamese Law, the provision in the international treaty on ODA shall take precedence (Article 51). G. Entitlements, Assistance, and Benefits 19. The project entitlements adopted are based on ADB s SPS (2009) that have been harmonized with the existing GOV laws, Ha Noi City PC s Decisions on land acquisition, resettlement and assistance. 20. One of key policy objectives of the project is to replace or compensate lost assets. All compensation is based on the principle of replacement cost. Compensation and provision of 11

12 assistance will be provided and income restoration allowance will be put in place prior to displacement of affected households from their houses, land, and other assets, such that they will be at least as well off as they would have been in the absence of the project, and the poorest affected households and vulnerable groups are assisted to help improve their socioeconomic status. H. Relocation of Housing and Settlement 21. No household has to relocate. I. Income Restoration 22. There is no severely affected household but 12 vulnerable households. Thus, income restoration allowances for these households will be provided. In addition, the Subproject shall provide cash allowance for permanently acquired agricultural land, and cash allowance for job changing and creation, applying for affected households with permanently acquired agricultural land. J. Resettlement Budget and Financing Plan 23. The total cost for resettlement is estimated at VND VND 3,327,995,055 (or equivalent to USD 146, ). This proposed budget includes compensation and allowances, cost for resettlement implementation for Ba Vi LFDC (2% cost of compensation and allowances), and contingency. EVN HANOI and Hanoi DPMB will ensure the timely provision of counterpart funds for resettlement to meet any unforeseen obligations in excess of the resettlement budget estimates in order to satisfy resettlement requirements and objectives. K. Institutional Arrangement 24. EVN HANOI is the executing agency of the project. EVN HANOI will establish a project management board at its headquarters to oversee the overall administrative and financial aspects of the project. The Hanoi DPMB is the implementing agency (IA) will coordinate the consultants and closely cooperate with Hanoi City PC, DPCs, Land Fund Development Centers (LFDCs) and CPCs to update the resettlement plan and implement resettlement activities. L. Implementation Schedule 25. Table below summarizes the steps involved in the implementation of land acquisition, compensation and resettlement activities for the project. Table 1. Implementation Schedule Main activities Time-frame Preparing RP Inventory of Losses December 2016 Public meeting and consultations with affected persons on resettlement plan January-March 2017 Resettlement Plan preparation March

13 ADB no-objection to final draft resettlement plan April 2017 Implementing RP DMS June 2017 Updating of resettlement plan and submit to ADB for review and upload before bid awarded September November 2017 Compensation and assistance payment November-December 2017 Site clearance December 2017 Start of civil works December 2017 Monitoring June 2017 M. Monitoring 26. Hanoi DPMB will be responsible for the overall monitoring activities. With assistance of the Project Implementation Consultant (PIC), Hanoi DPMB will prepare biannual internal monitoring reports on RP implementation and submit to EVN HANOI and ADB for review and upload. 13

14 II. INTRODUCTION A. Project Background 27. The construction of the new 110 kv Ba Vi SS is among the non-core subprojects proposed for inclusion in the Hanoi- Ho Chi Minh City Power Grid Development Sector Project financed by the ADB. The construction of the new substation requires land acquisition, thus this updated resettlement plan (urp). The urp is based on the results of the detailed measurement survey (DMS) and socioeconomic survey (SES) of affected households (AHs), including consultations with the AHs, consistent with applicable laws of the Government of Viet Nam (GOV) and with the 2009 ADB Safeguard Policy Statement (SPS). 28. The Hanoi City Power Corporation (EVN HANOI) is the Project executing agency (EA) while the Hanoi Power Development Project Management Board (Hanoi DPMB) is the implementing agency (IA). B. Description of the Subproject 110 kv Ba Vi Substation 29. The 110 kv Ba Vi Substation and Connection Line Subproject aims to complete the Power Development Planning of Hanoi City for the period with consideration up to The development of the 110 kv Ba Vi Substation and 110 kv connection line supplying power to the substation aims to timely meet the development demands of the loads and reduce the losses of the grid, which is necessary and urgent. At the same time, when the substation is put into operation, it will meet the power supply and capacity demands of Ba Vi District, and supply power to the neighboring area in order to promote the socioeconomic development of the entire project area in particular and of Ha Noi City in general. 30. The Subproject comprises two components as the following: (i) 110 kv Ba Vi SS; and (ii) 110 connection line from 220 kv Son Tay Substation to 110 kv Ba Vi Substation. This urp is prepared for the 110 kv Ba Vi SS Component. Below is the description of the substation component. 31. The 110 kv Ba Vi SS is proposed to be built in Cau Vo area in Yen Bo Hamlet, Vat Lai Commune, Ba Vi District. The SS is located on the annual cropland area. 32. The geographical boundary of the SS is as follows: Bordered on the North by the provincial road 411C; Bordered on the South by Dong Mai area; Bordered on the East by Dong Giai industrial cluster; and Bordered on the West by the field of Yen Bo Hamlet. 33. The total area planned for the construction of the 110 kv Ba Vi SS is approximately 6,021 m 2, comprising: - Area reserved for construction: 4,907 m 2, including: o Area for construction of the SS: 2,490 m 2 o Area reserved for management house, material storage, equipment installation, etc.: 2,417 m 2. 14

15 - The land area temporarily allocated to connect the internal road to the provincial road 411C: about 287 m 2 ; and - The land area temporarily allocated for protective talus of substation foundation and return of the existing earth road: about 827 m 2. Figure 1. Location of the 110 kv Ba Vi SS C. Measures Undertaken to Minimize Subproject Impacts 34. Hanoi DPMB and the design consultants held public meeting to consult with local authorities and local people regarding to the location of the substation as well as the alignment of the connection line for the purpose of identifying options with the least adverse social and environmental impacts. Also, prior to the holding of the inventory of losses, the proposed layout of the substation and the route of the connection line were presented to the local authorities and representatives of the AHs and feedbacks and suggestions from them were gathered. Copies of the draft layout of the substation and alignments of the connection were provided to relevant government offices, such as the city, district and commune People s Committees (PCs), city/district/commune cadastral officers, for comments and for their 15

16 information. Feedbacks gathered from local authorities and the affected people were taken into consideration in the design of the subproject. 35. The access road from the Provincial Road 411 to the 110 kv Ba Vi Substation will cross over the irrigational canal T4 at the station K2+600 in Yen Bo Hamlet, Vat Lai Commune. The design of the access road has been consulted with the Tich River Irrigation Limited Liability Company, the managing unit of the irrigational canal, to avoid impacts on the irrigational works during construction. The Company has agreed with the construction of the access road to the 110 kv Ba Vi SS upon the conditions that the design of the box culvert should ensure the water flow and in consistent with the planning of the T4 canal to avoid impacts on people s farming activities. III. SCOPE OF LAND ACQUISITION AND RESETTLEMENT A. Affected households households and one Commune People s Committee (CPC) will be affected by the 110 kv Ba Vi Substation. These 44 households that are made up of 186 persons will be affected by permanent land acquisition, including 12 households belonging to vulnerable group. Details of affected households by category are summarized in the following table. Type of impact AHs Table 2. Number of PAHs by category AHs losing 10% Reloca ted AHs Busine ss AHs EM AHs Vulner able AHs Total APs Permanent Restriction Temporary Total Source: DMS and SES data, 2017 B. Impacts on Land 1. Permanent land acquisition 37. The 110 kv Ba Vi SS shall acquire 6,020.7 m 2 of land located in Vat Lai Commune, affecting a total of 44 households and Vat Lai CPC. By land classification, 5,639.8 m 2 (93.7%) of the permanently acquired land are used for growing rice and other seasonal crops; and m 2 (6.3%) are public land (agricultural land) under the management of CPC. Table 3. Use of Permanently Acquired Land for Tower Foundations 16

17 N o. Districts/ Communes Number of AHs and Area of Affected Land by Use (m 2 ) Lands for Lands for growing rice growing and annual perennial Public lands Total crops crops HH Area HH Area HH Area HH Area (m 2 ) (m 2 ) (m 2 ) (m 2 ) I. Ba Vi District 44 5, , Vat Lai 44 5, ,020.7 Total 44 5, ,020.7 Source: DMS data, By severity of land loss, none of the AHs is affected by the loss of 10% or more of their total productive landholdings. 2. Temporary impacts 39. The access road from the Provincial Road 411 to the 110 kv Ba Vi Substation will cross over the irrigational canal T4 at the station K2+600 in Yen Bo Hamlet, Vat Lai Commune. The design of the access road has been consulted with the Tich River Irrigation Limited Liability Company, the managing unit of the irrigational canal, to avoid impacts on the irrigational works during construction. The Company has agreed with the construction of the access road to the 110 kv Ba Vi SS upon the conditions that the design of the box culvert should ensure the water flow and in consistent with the planning of the T4 canal to avoid impacts on people s farming activities. 40. However, in case of unanticipated impact emerged during construction, such impacts will be compensated and supports per the project policy framework and this updated RP. In such case, the civil works contractor will pay for any damaged crops or income loss arising from the inability of AHs to plant their crops during the temporary use of their lands, in addition to restoring those temporarily affected lands to their original conditions before returning to the landowners. EVN HANOI will ensure that this condition is stipulated in the contract of the civil works contractors. 3. Land tenure status 41. All AHs affected by permanent and temporary land acquisitions have land use rights certificates (LURCs) over their total land area. C. Structures 42. No houses or structures are affected by the Subproject. D. Crops and Trees 43. Crops in the project area will be affected by land acquisition for the substation construction. During the DMS, crops that were grown on the 5,639.8 m 2 of 44 households permanently acquired land included rice and other seasonal crops. To the extent possible, standing crops on any affected land would be harvested prior to the start of civil works by informing AHs at least 6 months in advance of the schedule for handing-over of project-recovered land. 17

18 No. E. Impacts on Business Shops 44. The Subproject does not cause any impact on business shops. F. Impacts on Public Properties 45. Besides the impacts as described above, the Subproject does not cause any permanent impact on public assets as well as historic and cultural sites and sensitive areas including national parks or natural reserves. G. Severely Affected Households 46. There is no severely affected household as well as no household who might be worsened off due to the Subproject s impacts. H. Vulnerable Groups 47. As per the results of the socioeconomic survey (SES) of 44 AHs, a total 12 AHs are considered as belonging to one or more vulnerable groups. Most of the vulnerable AHs, 11 out of 12 households, fall into category of single women-headed household. One of the AH belongs to poor AH. None of the AHs is beneficiary of government social policies (families of war martyrs, etc.). Table 4. Vulnerable Households in the Subproject Area Commune Womenheaded AHs AH headed by disabled person Vulnerable AHs Poor AHs Martyrs & wounded soldiers I Ba Vi District Vat Lai Total Source: DMS data, 2017 Total IV. SOCIOECONOMIC INFORMATION 48. The socioeconomic survey (SES) conducted by the consultant team hired by the Hanoi DPMB in December covered 44 AHs. A questionnaire was used in the SES. Basic socioeconomic information on the subproject area was obtained from government sources. A. Subproject Area 49. Ba Vi District. Ba Vi District is suburban district located in the Northwest gateway of Hanoi City. With Red River and Da River passing through, the district has favorable waterway and road transport. Several important roads connecting Ba Vi to the center of Hanoi as well as other neighboring provinces and districts include National Road 32, Thang Long Boulevard, and Ho Chi Minh Route in the future. 50. Ba Vi District is bounded by the Red River and Phu Tho Province to the North, by Son Tay Town, Hanoi City to the East, by Luong Son District of Hoa Binh Province to the South, and 18

19 by Da River and Phu Tho Province to the West. The total area of the district is 424 km2 with more than 265,000 people from three (03) main ethnic groups of Kinh, Muong, and Dao. Ba Vi is divided into 31 administrative divisions including one township (Tay Dang) and 30 communes (Ba Trai, Ba Vi, Cam Linh, Cam Thuong, Chau Son, Chu Minh, Co Do, Dong Quang, Dong Thai, Khanh Thuong, Minh Chau, Minh Quang, Phong Van, Phu Chau, Phu Cuong, Phu Dong, Phu Phuong, Phu Son, Son Da, Tan Hong, Tan Linh, Thai Hoa, Thuan My, Thuy An, Tien Phong, Tong Bat, Van Hoa, Van Thang, Vat Lai, and Yen Bai. 51. Tay Dang Township is located in the Northern area of Ba Vi District. With the relatively flat terrain and favorable river and lake system, this area has advantages in developing agricultural and intensive cropping area. Tay Dang is commercial and services center of Ba Vi District, playing as a main drive to support the socioeconomic development of the district. The Southern area of Ba Vi with rich and natural landscape, including Ba Vi National Park, is identified as the tourism area for the development of resorts, recreation area, exploring natural landscape, etc. 52. Vat Lai Commune. The commune has an aggregate cultivated area of ha; the main crops include soybean, maize, groundnut, sweet potato, cassava, etc. The total income of the commune is 2016 is 372 billion dong. In which, income from agriculture, forestry, and aquaculture is 201 billion dong, accounting for 54% of the total income; income from industry and handicraft is 41 billion dong, making up 11%; and income from business and services is 130 billion dong, equivalent to 35%. The annual per capita income of the commune is VND 26 million, increasing by 5 million dong compared to B. Socioeconomic Profile of the Affected Households 1. Demographic characteristics 53. The 44 households covered in the SES were made up of 186 persons, or the equivalent of 4.22 persons per household. 33 (75%) of the household heads were men, while 11 (25%) of the household heads were women. Table 5. Surveyed AHs and Gender of Household Heads No. District/ Commune Members of the No. of No. of surveyed AHs Average AHs APs HH size Male Female I. Ba Vi District Vat Lai Total Source: SES, December Of the 186 persons that made up the 44 surveyed AHs, 152 (about 71%) were in the working age bracket (15-60 years old). Among the population in the working age bracket, 32 (17.2%) were in the years old age group; 50 (26.9%) in the age group; and 50 (26.9%) in the years old age group. The non-working age population numbered 54 people, including 34 people (18.3%) that were below the age of 15 and 20 people (10.7%) that were more than 60 years of age. 19

20 District/ Commune Table 6. Population Structure by Age Group Age group No. Districts/Communes Below Above Total II. Ba Vi District Vat Lai Total Source: SES, December Level of education 55. The results of the SES indicate that the majority of the household members are secondary school graduates, representing 45.7% of the surveyed, followed by the percent of household members with high school education but not yet graduated from high school, representing 14.5%. The percentage of household members with vocational training and college and university education is small, only accounting for 1.1% each of the total household members. No household member is without schooling. 56. By gender, of the 33 male AH heads, four (12.1%) finished primary school, while 15 (45.5%) finished secondary education, nine (27.3%) of the male AH heads finished high school, five have college and university education (15.1%). Of the total 11 female AH heads, two (18.2%) finished primary school, while six (54.5%) finished secondary education, two (18.2%) attained high school education and one had university education. Illiterate Table 7. Education Attainment of Surveyed Household members Primary school Secondary school Not yet graduated from high school High school Vocational training College and university Others Per. % Per. % Per. % Per. % Per. % Per. % Per. % Per. % Per. % I. Ba Vi District Vat Lai Total Source: SES, December Livelihood occupations of the affected households 57. The affected households have a variety of livelihood occupations from which they can derive either cash income or income-in kind. The results of SES indicate that the majority of the AHs are engaged in farming activities as their main occupation, accounting for 58.6%, or 109 APs. Seven APs are workers at the factories, making up 3.8% while only one AP is government official, equivalent to 0.5%. The number of students among APs is 41, representing 22% of the APs whereas about 14.6%, or 27 APs, are engaged in other works. Total Table 8. Occupational Structure of the Affected People by Commune Occupation Commune 20

21 Vat Lai Total Per. % Per. % Farming Livestock husbandry Seller Restaurant, eating shop Factory workers Government officials Working for private companies Working in transport sector Drivers Economic supports in Vietnam Remittances Housework Retired Students Others Total Source: SES, December Household monthly incomes 58. According to the survey results, there is one AH having income level under the Hanoi City PC s poverty line according to Decision 12/2016/ QD-UBND 2, which is VND 1,100,000/person/month. However, none of the surveyed AHs is classified as near-poor, who have monthly per capita income from VND 1.1 million to VND 1.5 million. The majority of the AHs (20 households or 45.5%) have monthly household income above VND 6 million, followed by 14 households (31.8%) have monthly income from VND 3 to 4 million and from VND 4 to 5 million. The number of households with monthly income ranging from 5 million to 6 million account for 13.6% (six AHs). District/ Commune Table 9. Monthly Income of the Affected Households Less than 2 mil. 2-3 mil. 3-4 mil. 4-5 mil. 5-6 mil. More than 6 mil. HH % HH % HH % HH % HH % HH % HH % I. Ba Vi Dist Vat Lai Total Monthly per capita income: VND 1,829, Source: SES, December Water sources 59. Households in the subproject area get water from two main sources: dug well and drilled well. About 72.7% (32 households) of the affected households in the subproject communes 2 Decision No. 12/2016 / QD-UBND promulgating standards of poor households, near poor households and average income level households with multi-dimensional of poverty approach of Hanoi city in the period Total 21

22 draw water from dug wells while 27.3% (12 households) use water from drilled wells for cooking and drinking purposes. District/ Commune Table 10. Water Sources of the Surveyed AHs Dug well Tap water River, lake, spring, pond Gravity-fed water Drilled well HH HH HH HH HH HH I. Ba Vi District Vat Lai Total Source: SES, December Energy sources 60. All affected households use electricity for lighting. Sources of energy for cooking are gas (38.6% or 17 households) and firewood (61.4% or 27 households). Table 11. Energy Sources of the Surveyed AHs for Cooking District/ Commune Power grid Gas/oil Firewood Biogas Total HH % HH % HH % HH % HH % I. Ba Vi District 0 0% % % 0 0% % 1. Vat Lai 0 0% % % 0 0% % Total 0 0% % % 0 0% % Source: SES, December 2016 C. Gender Issues 61. Apparently, there are no gender issues in the subproject area. Per results of the SES and interview of representatives from the Women s Union in subproject communes, the level of equality between women and men was relatively high. Women are involved not only in domestic chores but also in income generation and in local associations activities, including activities organized by the commune Women s Union. Both men and women are involved in household decisions. Total V. CONSULTATION, PARTICIPATION AND DISCLOSURE A. Objectives of Information Disclosure and Public Consultation 62. In compliance with GOV s Land Law 2013 (Article 48, Article 67, and Article 69), SPS (2009) and ADB s Public Communication Policy: Disclosure and Exchange of Information (2011), the Hanoi DPMB, as representative of EVN HANOI, promotes the active participation of the Project-based stakeholders. They have been identified during the series of disclosures and public consultations at commune and village levels, involving stakeholders such as the District level CARBs, CPCs, mass organizations, non-ap residents, and the APs. 63. ADB Safeguards Policy Statement (SPS 2009) requires that in line with ADB s Public Communications Policy, ADB is committed to working with the borrower/client to ensure that 22

23 relevant information (whether positive or negative) about social and environmental safeguard issues is made available in a timely manner, in an accessible place, and in a form and language(s) understandable to affected people and to other stakeholders, including the general public, so they can provide meaningful inputs into project design and implementation. The disclosure of information, with the consultation and participation of all APs and relevant stakeholders, will minimize the risk of disputes and Project delay. This also facilitates the Project to design resettlement and rehabilitation program as a comprehensive development program that meets the needs, preferences and social benefits of the project investment. 64. Public consultation is of a significant importance, respecting to the disadvantaged, the vulnerable and especially to people living under poor levels. The consultation shall: start early and throughout the project cycle, including stages of project preparation, implementation and monitoring; provide timely, relevant and necessary information which is easily understandable and accessible to affected persons; be done voluntarily; tailor the needs of disadvantaged and vulnerable groups; allow the integration of all relevant opinions of affected persons and other stakeholders into the decision-making process, such as project design, mitigation measures, sharing of benefits and changes that the project brings. 65. The objectives of public information and consultation program with the APs are: to ensure that local authorities as well as all APs will be presented in the planning and decision making process. SPMB will keep the dialogue with the PPCs and DPCs during the process of the project implementation. The participation of APs will be continued later by means of requesting districts to invite their representatives to the resettlement activities (asset valuation, compensation, resettlement and supervision); to fully share information about the components and operation of the Project with APs in order that this process will be transparent; to collect information on the needs and priorities of all APs as well as information about their reactions to proposed policies and activities; to ensure that all APs are fully informed about the decisions that will affect their income and living standards, and that they will have the opportunity to participate in the activities and decision making on the issues that will directly affect them. Inform APs regarding entitlements, grievance redress arrangements, consultation and communication arrangements as well as resettlement plan preparation and implementation arrangements; to get the cooperation and participation of all APs and communities on activities necessary for the development and implementation of the resettlement plan in a bottom-up manner; to ensure the transparency in all activities related to land acquisition, resettlement and rehabilitation. 23

24 B. Stages of Participatory Consultations 66. The consultation with communities in the affected communes is an important activity in the project. With the above objectives, the Hanoi DPMB will carry out the participatory consultations in every stage of the Subproject cycle relevant to the requirements in the RP in which activities are summarized in the table below. Table 12. Participatory Consultation in the Project Cycle Stages Activities and Target Participants Responsibility Project Preparation Pre-Feasibility /Feasibility Study and Drafting of Technical Design Project Implementation Finalization of Technical Design Meet to discuss with the city, district, commune, and village officials, Project Management Board (PMB), and project-based stakeholders about the Project TA, the safeguard policies, and the activities of the consultants. Conduct census of the DPs, IOL, social impact assessment of DPs, and replacement cost study (RCS) Discuss the proposed Project resettlement policy with EVN HANOI, Hanoi DPMB and DPs and solicit their feedbacks. Disclosure of the results of IOL to DPs and discuss the proposed minimization of impacts and solicit their suggestions and/or comments thereon, including relocation options if needed. Drafting of the RP and its capsulized summary in leaflet form for submission to Hanoi DPMB and EVN HANOI for review and endorsement to ADB for approval. Distribution of information leaflets to DPs, posting of summary RP at district and commune offices. Posting the RP on the ADB website Briefing of the respective compensation and resettlement committees in the province, districts and communes, conduct of centerline survey and demarcation of ROW boundaries, and detailed design by the PICs. Conducting Detailed Measurement Survey (DMS) with participation of DPs, updating unit costs (as necessary) Meeting with DPs to discuss and consult the results of DMS, the Project resettlement policy, entitlements and relocation options Updating/revision of the RP and its capsulized summary in leaflet form. Hanoi DPMB and Consultants Consultants, assisted by commune/village officials Consultants Hanoi DPMB and Consultants, assisted by commune/village officials Consultants Hanoi DPMB ADB Hanoi DPMB and PICs PICs assisted by commune/village officials EVN HANOI and PICs, assisted by commune/village officials PICs 24

25 Submission of the updated RP and project information leaflet to Hanoi DPMB and EVN HANOI for review and endorsement to ADB for approval. Distribution of the updated information leaflets to DPs, posting of summary updated RP at district and commune offices. Implementation of Updated RP. PICs Hanoi DPMB EVN HANOI and Hanoi DPMB assisted by PICs PICs Post Project Implementation Appraisal of Project social safeguards objectives Internal monitoring of RP implementation. Overall review of the Project completion performance and conduct interviews with the Hanoi DPMB, selected project-based stakeholders and the DPs if the Project social safeguards objectives have been met. EVN HANOI and PICs C. Information Disclosure and Public Consultation during project Preparation 1. Information Disclosure and Public Consultation during RP Preparation 67. During the RP preparation, the public meetings and consultations were held from January to March 2017 with project-based stakeholders, 51 people including 36 men (71%) and 15 women (29%), from Vat Lai Commune in Ba Vi District of Hanoi City. They were given the Vietnamese version of Project Information Booklet (PIB). The topics discussed in the public meetings and consultations were: (i) general information of the Project, its location, routes and features; (ii) list of project affected districts, communes and the scale of possible land acquisition for the Project substation and transmission lines; (iii) objectives and principles of RP according to the requirements of the GOV and Safeguard Requirements 2 (SR2) of the 2009 Safeguard Policy Statement (SPS) of ADB; (iv) results of IOL and SES; (v) livelihood restoration program; (vi) compensation and relocation options; (vii) issues on gender and vulnerable groups; and (viii) mechanisms of APs participation, grievance redress, monitoring and evaluation in all phases of RP preparation, updating and implementation. 68. Representatives of mass organizations in each of the Project communes have also attended the meetings and consultations, such as Vietnam Women s Union, Fatherland Front and Vietnam Farmers Union. Focus groups discussions, key informant interviews and HHs socio-economic survey were also conducted. (See Appendix 4 for the highlights and list of participants in the public consultations). Table 13. Dates of Public Meetings and Consultations during RP Preparation No. Districts and Commune Date of meetings Number of Participants Male Female Total I. Ba Vi District Vat Lai Total Results of the public consultations are summarized in the table below: 25

26 Table 14. Highlights of Public Consultations Commune Vat Lai Commune Summary of Public Consultations - The project should commit to ensure safety during the project implementation; - During construction, the contractor must be responsible for ensuring safety and traffic around the 110 kv SS as well as for the cultivation and production activities; - Lightning protection system and sign and signal should be placed as regulated; - The compensation rates should be appropriate and adequate; - The small productive area which is not viable for cultivation should be acquired; - Adequate assistances in accordance with government s regulations must be provided. 70. Following the conduct of the IOL and SES, a second round of public meeting-consultations with the AHs were carried out in August 2017 for the purposes of (i) presenting the results of the surveys; (ii) discussing the project resettlement policy, particularly its objectives, principles, entitlements, and the policy on cut-off date for eligibility to project entitlements; and (iii) soliciting their views and suggestions regarding the resettlement policy, especially with regard to compensation and cash assistance. A total of 49 persons participated in those meeting-consultations held in Vat Lai Commune. 71. Feedbacks from the affected households included the followings: (i) the local authorities and communities expressed their supports toward the project implementation; however, the constructions schedule should be informed in advance so that the households can plan their cultivation; and (ii) there should be appropriate solutions to the remaining and unviable productive land areas. 72. The Hanoi DPMB has received feedback from affected households and responded to the aforementioned concerns by explaining relevant provisions, such as the 2013 Land Law, Decree No. 47/2014/ND-CP, and Decision No. 23/2014/QD-UBND by Hanoi City PC, of the project resettlement policy, particularly on compensation and the need to minimize adverse social impacts and explaining the environmental management plan of the project. The Project has committed to provide adequate compensation and assistances per the project policy and regulations of the Hanoi City PC. The representative of the Hanoi DPMB also explained about the safety for the households to be engaged in livestock husbandry as well as farming activities. The Hanoi DPMB pointed out that the project is committed to help the affected households and ensure that their living standards are not worsen off. After being explained about the basis for compensation and assistance rates, the affected households have agreed and reached consensus on the compensation and assistance policies of the project. 2. Information Dissemination before ADB Approval of RP 73. Before approved by ADB, RP has been publicized in public places. The contents of RP are discussed with the consent of the APs. Project information leaflets were prepared and distributed to affected households, in which the contents include: (i) a brief overview of the 26

27 project, especially the main items to be performed and size of land acquisition; (ii) impacts on land and assets on land; (iii) the rights over the affected land and assets; (iv) detailed implementation plan for assistance, resettlement and compensation payments; (v) mechanisms for grievance redness; and (vi) the contact list of the staff of the implementing agencies and local authorities to ensure that complaints are resolved in a timely and satisfactory manner. 74. Besides project information leaflets, policies related to land acquisition, compensation, assistance and resettlement is disseminated to people to engage in public consultation meetings, copy these documents are listed in office of the CPCs and the village chief. D. Public Consultations during project implementation 1. Public consultation and participation in the DMS and replacement cost survey 75. The principle of DMS is to ensure that (i) The survey was fully conducted and accurate for all land and assets on the land of affected households and communes; (ii) DMS must be fully participated by the community and the affected households, and the participation of women is required; (iii) the results of the DMS must be publicized; and (iv) complaints and appeals related to results of DMS must be resolved fully and in time before updating RP / compensation plans. 76. Before implementation of DMS, the DMS plan has been discussed and agreed between Hanoi DPMB, DCARBs, CPCs, village chiefs, representatives of local organizations and affected households and then disclosed on audio media. Women are encouraged to participate in all activities of DMS such as inventory on affected land and assets, participating in meetings to disseminate information to complete and announce the results, concerns over inventory. 77. DCARBs and Hanoi DPMB coordinate with the CPC have held meetings with village chiefs, representatives of mass organizations and all those affected to provide inventory form for the affected people to fill in themselves. The content of the inventory form has been explained and clarified for households to easily complete. During the DMS in June 2017, also involved the participation of the party as the head of household, women, heads of villages and cadastral officials, representatives of the CPC and others. DMS outcome of each household is listed in public places (office of People Committee, the Cultural house of Village) within 07 days for households to crosscheck and edit errors (if any). 78. Replacement cost surveys are conducted to ensure that (i) the compensation for affected land and assets on land at replacement cost; and (ii) the replacement cost survey should be carried out with the participation of those affected, the affected communities and relevant agencies at city/ district / commune. Survey results on replacement cost must be publicized to the community and those affected. 2. Public consultation and participation in the process of updating RP 79. In the process of updating RP, consultant agency has consulted DPCs, LFDCs, and CPCs in the project area. Public consultation with affected people through community meetings, focus group discussions and interviews the household by questionnaire are conducted during the implementation of the RP. 27

28 80. Project information leaflet is prepared and distributed to those affected. The main content is disseminated to those affected include: (i) describe the general information of the project, particularly the activities undertaken to restrict social activities; (ii) potential project impacts; (iii) resettlement principles; (iv) entitlements and other assistances of affected people; (v) the grievance redress mechanism; and (vi) contacts of relevant people responsible of Hanoi DPMB and local authorities. The leaflet is publicized at the CPC office and delivered to affected people; 81. Copies of the resettlement plan in Vietnamese are sent to the compensation and site clearance committee, and are publicized at the office and at home CPC village chief. 3. Public consultation and participation in implementation and monitoring of urp 82. The general principle of the project, as mentioned above is to ensure participation of all affected people and local community in all activities and all phases of the project. Affected households and communities can participate in the following activities: Public consultation in the hamlet on detailed design of the project; The public consultation meetings in hamlets on the impact of the project; compensation policies, assistance and resettlement, detailed implementation plans for resettlement activities and grievance redress procedure; Detailed measurement of affected assets of APs; Replacement cost survey on affected land and assets; Implementation of the income restoration measures to improve the livelihoods; Preparation and implementation and monitoring of RP. VI. GRIEVANCE REDRESS MECHANISM 83. In order to ensure that all APs grievances and complaints on any aspect of land acquisition, compensation and resettlement are addressed in a timely and satisfactory manner, and that all possible avenues are available to APs to air their grievances, a welldefined grievance redress mechanism needs to be established. All APs can send any questions to implementation agencies about their rights in relation with entitlement of compensation, compensation policy, rates, land acquisition and grievance redress. APs are exempted from any fee for procedures associated with seeking grievance redress. 84. A grievance redress mechanism is established based on Complaint Law No. 2/2011/QH13 and Decree No.75/2011/ND-CP guiding implementation the complaint law as follows: First Stage: Commune Peoples Committee (CPC) - An aggrieved AP may lodge his/her complaint to any member of the CPC, either through the Chairperson or directly to the CPC, in writing or verbally. It is incumbent upon the village chief to notify the CPC about the complaint. The CPC will meet personally with the aggrieved affected household and will have 30 days and maximum of 45 days following the lodging of the complaint, depending on complicated case or distance, to resolve it. The CPC secretariat is responsible for documenting and keeping file of all complaints that it handles. 28

29 Second Stage: District/Town People s Committee (DPC) - If after thirty (30) days or 45 days (depending on complicated cases) the aggrieved affected household does not hear from the CPC, or if the affected household is not satisfied with the decision taken on his/her complaint, the affected household may bring the case, either in writing or verbally, to any member of DPC or the DRC. The DPC in turn will have thirty (30) days or maximum of 70 days following the lodging of the complaint, depending on complicated case, to resolve the case. The DPC is responsible for documenting and keeping files of all complaints that it handles and will inform the LFDC of any determination made and the LFDC is responsible for supporting DPC to resolve AH s complaint. The DPC must ensure their decision is notified to the complainant. Third Stage: Provincial People s Committee (PPC) - If after thirty (30) days to 45 days the aggrieved AP does not hear from the DPC, or if the affected household is not satisfied with the decision taken on his/her complaint, the affected household may bring the case, either in writing or verbally, to any member of the PPC. The PPC has 30 days or maximum of 70 days, depending on complicated case, to resolve the complaint to the satisfaction of all concerned. The PPC secretariat is also responsible for documenting and keeping file of all complaints that it handles. Final Stage: People s Court - If after 30 days following the lodging of the complaint with the PPC, the aggrieved AP does not hear from the PPC, or if he/she is not satisfied with the decision taken on his/her complaint, the complainant can appeal again to the PPC. If the complainant is not satisfied with the second decision of the PPC, the case may be brought to a court of law for adjudication. If the court rules in favour of the complainant, then PPC will have to increase the compensation at a level to be decided by the court. In case the court will rule in favour of PPC, then the complainant will receive compensation approved by PPC. 85. Where complaints about administrative decisions or administrative acts regarding land management are settled for the first time by the presidents of the People's Committees of rural districts, urban districts, provincial capitals or provincial towns, but the complainants disagree with the settlement decisions, they are entitled to initiate lawsuits at people's courts or continue to complain with presidents of the provincial/municipal People's Committees. Since Hanoi City is municipality, when complaining with municipal People's Committee presidents, the decisions of the municipal People's Committee presidents shall be the final ones (According to clause 3, Article 203, Land Law 2013). 86. The above Grievance Redness Mechanism will be disseminated and discussed with the APs in the process of preparing and implementing RP to ensure people understand the procedure. Hanoi DPMB and the LFDCs will be responsible for following up the grievance process from the APs. Records of the complaints will be recorded and monitored by the project and the PIC. 29

30 VII. LEGAL FRAMEWORK 87. The project is funded by the ADB, therefore, the Safeguards Policy Statement (SPS) 2009 of ADB on involuntary resettlement will be applied in combination with relevant policies of Viet Nam on compensation, assistance and resettlement. 88. The EVNHANOI has reconciled the provisions of the 2009 SPS on involuntary resettlement and other cross-cutting policy themes of ADB, and the relevant laws of the GOV, from where the legal and policy framework for the compensation, resettlement and rehabilitation of DPs were formulated. The framework is consistent with the governing policies of the RF concurred by ADB and EVN HANOI that will be applied for all core and non-core projects of this Power Grid Development Sector Project. A. ADB Policies 89. The ADB Safeguard Policy Statement (SPS) of 2009 consolidates three existing safeguard policies: involuntary resettlement (IR), indigenous peoples (IP), and environment. 3 The objectives of the IR policy are to (i) avoid involuntary resettlement where possible, (ii) to minimize involuntary resettlement by exploring project and design alternatives, (iii) to enhance, or at least restore, the livelihoods of all displaced persons in real terms relative to pre-project levels and (iv) improve living standards of poor and vulnerable households. The IP policy objectives are to (i) design and implement projects that fosters full respect for IP's identity, dignity, human rights, livelihoods systems, and cultural uniqueness as defined by the IP themselves and (ii) ensure that IPs receive culturally appropriate social and economic benefits, do not suffer adverse impacts as a result of projects, and can participate actively in projects that affect them. 90. The involuntary resettlement requirements apply to full or partial, permanent or temporary physical displacement (relocation, loss of residential land, or loss of shelter) and economic displacement (loss of land, assets, access to assets, income sources, or means of livelihoods) resulting from (a) involuntary acquisition of land, or (b) involuntary restrictions on land use or on access to legally designated parks and protected areas. Resettlement is considered involuntary when displaced individuals or communities do not have the right to refuse land acquisition that results to displacement. This occurs in cases where (i) lands are acquired through expropriation based on eminent domain; and (ii) lands are acquired through negotiated settlements, if expropriation process would have resulted upon the failure of negotiation. 91. Projects financed by ADB, including associated facilities that are financed by the government or other sources, are expected to observe the following policy principles: Screen early to identify involuntary resettlement impacts and risks and determine the scope of resettlement planning through a survey and/or census of displaced persons, including a gender analysis, specifically related to resettlement impacts and risks. Carry out meaningful consultations with displaced persons, host communities, and concerned non-government organizations. Inform all displaced persons of their 3 The policy on environment is discussed in a separate environment report. 30

31 entitlements and resettlement options and ensure their participation in various stages of the project especially vulnerable and poor groups. Establish a grievance redress mechanism to receive and facilitate resolution of the displaced persons concerns. Support the social and cultural institutions of displaced persons and their host population. Improve, or at least restore, the livelihoods of all displaced persons through (i) land-based resettlement strategies when affected livelihoods are land based where possible or cash compensation, assistance at replacement value for land when the loss of land does not undermine livelihoods; (ii) prompt replacement of assets with access to assets of equal or higher value; (iii) prompt compensation, assistance at full replacement cost for assets that cannot be restored; and (iv) additional revenues and services through benefit sharing schemes where possible. Provide physically and economically displaced persons with needed assistance, including the following: (i) if there is relocation, secured tenure to relocation land, better housing at resettlement sites with comparable access to employment and production opportunities, integration of resettled persons economically and socially into their host communities, and extension of project benefits to host communities; (ii) transitional support and development assistance, such as land development, credit facilities, training, or employment opportunities; and (iii) civic infrastructure and community services, as required. Improve the standards of living of the displaced poor and other vulnerable groups, including women head of households, to at least national minimum standards. In rural areas provide them with legal and affordable access to land and resources, and in urban areas provide them with appropriate income sources and legal and affordable access to adequate housing. Develop procedures in a transparent, consistent, and equitable manner if land acquisition is through negotiated settlement to ensure that those people who enter into negotiated settlements will maintain the same or better income and livelihood status. Ensure that displaced persons without titles to land or any recognisable legal rights to land are eligible for resettlement assistance and compensation for loss of non-land assets. Prepare a resettlement plan elaborating on displaced persons entitlements, the income and livelihood restoration strategy, institutional arrangements, monitoring and reporting framework, budget, and time-bound implementation schedule. Disclose both the draft and final resettlement plan in a form and language understandable to displaced persons and other stakeholders. Conceive and execute involuntary resettlement as part of a development project or programme. Include the full costs of resettlement in the presentation of project s costs and benefits. For a project with significant involuntary resettlement impacts, consider implementing the involuntary resettlement component of the project as a stand-alone operation. Pay compensation and provide other resettlement entitlements before physical or economic displacement. Implement the resettlement plan under close supervision throughout project implementation. 31

32 Monitor and assess resettlement outcomes, their impacts on the standards of living of displaced persons, and whether the objectives of the resettlement plan have been achieved by taking into account the baseline conditions and the results of resettlement monitoring. Disclose monitoring reports. 92. Calculation of full replacement cost will be based on the following elements: (i) fair current market value at the time of compensation, (ii) transaction costs, (iii) interest accrued, (iv) transitional and restoration costs, and (v) other applicable payments, if any. In the calculation, depreciation of structures will not be taken into account. It is expected that qualified and experienced experts will undertake the valuation of acquired assets. 93. Persons or households without formal legal rights nor recognized or recognizable claims to the acquired land are still entitled to compensation for their loss of assets other than land if they have been created before the cut-off date, and resettlement assistance. 94. The ADB Policy on Gender and Development (2006) adopts gender mainstreaming as a key strategy for promoting gender equity, and for ensuring that women participate in, and that their needs are explicitly addressed in the decision-making process for, development activities. The new safeguard policy also reiterates the importance of including gender issues in the preparation of safeguards documents at all stages to ensure that gender concerns are incorporated, including gender-specific consultation and information disclosure. This includes special attention to guarantee women s assets, property, and land-use rights and restoration/improvement of their living standards; and to ensure that women will receive project benefits. Other policies of the ADB that have bearing on resettlement planning and implementation are the (i) Public Communications Policy (2011), and (ii) Accountability Mechanism (2012). B. Compensation and Resettlement Policy of the Government of Viet Nam 95. The Constitution of the Socialist Republic of Vietnam (2013) confirms that ownership and protection of ownership of citizens of their houses. Besides, the Government has issued a number of laws, decrees, and regulations to form the legal framework for land acquisition, assistance, compensation, and resettlement. Primary documents include: 1. Law Land Law (2013) No. 45/2013/QH13 approved by the National Assembly, dated November 29, Electricity Law (2004) No. 28/2004/QH11 approved by the National Assembly, dated December 3, 2004 and Law No. 24/2012/QH13 dated November 20, 2012 of the National Assembly amending and supplementing a number of articles of the Electricity Law. Complaint Law (2011) No. 02/2011/QH13 approved by the National Assembly, dated November 11, Government s decrees Decree No. 43/2014/ND-CP, dated May 15, 2014 guiding the implementation of Land Law

33 Decree No. 44/2014/ND-CP, dated May 15, 2014 by the Government on the evaluation of land prices. Decree No. 45/2014/ND-CP dated May 15, 2014 by the Government providing the collection of land use levies. Decree No. 46/2014/ND-CP, dated May 15, 2014 by the Government providing the collection levies on land lease, water surface lease. Decree No. 47/2014/ND-CP, dated May 15, 2014 by the Government on compensation, assistance, and resettlement in the event of land recovery by the State. Decree No. 16/2016/ND-CP, dated March 16, 2016 on Management and Utilization of Official Development Assistance (ODA) and Concessional Loans of concessional loans Foreign Donors. Decree No. 14/2014/ND-CP, dated February 26, 2014 by the Government detailing the implementation of the Electricity Law regarding electricity safety. Decree No 75/2012/ND-CP dated October , by the Government provision detail some articles of the Complaint Law. 3. Circulars Circular No. 23/2014/TT-BTNMT, dated May 19, 2014 by MONRE regulating Land Use Right Certificate (LURC), right to ownership of housing and other assets attached to land. Circular No. 24/2014/BTNMT, dated May 19, 2014 by MONRE regulating cadastral dossiers. Circular No. 25/2014/BTNMT, dated May 19, 2014 by MONRE, regulating cadastral maps. Circular No. 28/2014/BTNMT, dated June 2, 2014 by MONRE regulating land statistic and inventory and development of current land use map. Circular No. 29/2014/BTNMT, dated June 2, 2014 by MONRE regulating details of making and amending land use planning. Circular No. 30/2014/BTNMT, dated June 2, 2014 by MONRE regulating dossiers of handing over land, leasing land, converting land use purpose, and land acquisition. Circular No. 36/2014/TT-BTNMT, dated June 30, 2014 on land pricing method; compilation of and adjustment to land prices; determination of specific land prices and consultancy on land pricing. Circular No. 37/2014/TT-BTNMT, dated June 30, 2014 on compensation, assistance and resettlement in the event of land recovery by the State. Circular No. 76 dated June 16, 2014by MoF guiding some articles of Decree No. 45/2014/ND-CP on land use levy collection. Circular No. 77 dated June 16, 2014 by MoF guiding Decree No. 46/2014/ND-CP on collection of land rental water surface. 33

34 Circular No. 02/2015/TT-BTNMT, dated January 27, 2015 by MONRE detailing a number of articles of Decree No. 43/2014/ND-CP and Decree No.44/2014/ND-CP dated May 15, 2014 by the Government. 4. Decisions of the Government Decision No. 1956/2009/QD-TTg, dated November 17, 2009 by the Prime Minister approving the Master Plan on vocational training for rural workers to Decision No. 63/2015/QD-TTg dated December 10, 2015 of the Prime Minister on policy on assistance in vocational training and job search for workers whose land is withdrawn by the State 5. Hanoi City PC s Decisions Decision No. 22/2014/QD-UBND, dated June 20, 2014 by Hanoi City PC promulgating the jurisdiction of the City PC in accordance with the 2013 Land Law and government s decrees on land allocation quota, land use rights, minimum size and area of land for household separation in Hanoi area. Decision No. 23/2014/QD-UBND dated June 20, 2014 by Hanoi City PC promulgating the jurisdiction of the City PC in accordance with the 2013 Land Law and government s decrees on compensation, assistance and resettlement upon land recovery by the state in Hanoi area. Decision No. 15/2016/QD-UBND dated April 20, 2016 by Hanoi City PC adjusting and supplementing a number of articles of the Decision No. 23/2014/QD-UBND dated June 20, 2014 by Hanoi City PC. Decision No. 74/2014/QD-UBND dated October 2, 2014 by Hanoi City PC promulgating the jurisdiction of the City PC in accordance with the 2013 Land Law and government s decrees and circulars by the MONRE and MOF in determining specific land prices in Hanoi area. Decision No. 02/2016/QD-UBND dated January 21, 2016 by Hanoi City PC promulgating the prices of new construction of houses, temporary houses, and structures as basis for determination of compensation and assistances upon land recovery by the state in Hanoi area/ Decision No. 96/2014/QD-UBND dated December 29, 2014 by Hanoi City PC promulgating the land prices in Hanoi from January to December Decision No. 02/2016/QD-UBND dated January 21, 2016 by Hanoi City PC promulgating the prices of new construction of houses, temporary houses, and structures as basis for determination of compensation and assistances upon land recovery by the state in Hanoi area. Announcement No. 7218/STC-BG dated December 30, 2015 by Hanoi Department of Finance on the compensation and assistance unit prices for trees, crops, and livestock, and surface water for the purposes of land acquisition in Hanoi area in

35 C. Gaps Analysis and Project Principles 96. Since 1 July 2014, the Land Law of 2013 and its implementing decrees and circulars provide the overall framework for involuntary resettlement in Viet Nam. 4 There are several aspects of the 2013 Land Law that are similar to the policy objectives and principles of the ADB safeguard policy on involuntary resettlement as provided by the 2009 Safeguard Policy Statement (SPS). There is basic congruence between Viet Nam s laws and the SPS especially with regard to the entitlement of persons with legal rights/titles. Existing legislation provides guidance for the following: (i) determining market/replacement rates and payment of compensation, assistance for various types of affected assets; (ii) options for land-for-land and cash compensation assistance; (iii) provision of relocation assistance and support to displaced households during the transition period; (iv) provision of resettlement land and housing with secure tenure; (v) additional assistance for severely affected and vulnerable households; (vi) assistance for livelihood restoration and training; and (vii) notification/disclosure, consultation, and grievance mechanisms. However, the following differences remain: SPS requires that displaced persons without titles (legal rights) to land be provided with resettlement assistance and compensated for loss of non-land assets (constructed before the cut-off date). On the other hand, the Land Law does not allow compensation of land-attached assets that are illegally established 5 (Article 92, LL). Moreover, structures (land-attached assets) are not compensated based on the value of a new structure, except for structures used for residential purposes (Article 89.2, LL). SPS requires exploring additional revenues and services through benefit sharing schemes where possible. This is not required under the Land Law. SPS requires conducting social impact assessment to identify poor and other vulnerable groups who may be disadvantaged and disproportionately affected by land acquisition for the purpose of implementing measures to assist them. The Land Law does not clearly require projects to identify displaced poor and other vulnerable groups that are impacted by a development project and to implement measures to assist them. However, in case the amount of compensation and support is not enough to buy the minimum plot in a resettlement site, the State will shoulder the balance. The level of detail and information required for resettlement planning under SPS differs from what is required by the Land Law. The Land Law does not require the preparation of a resettlement plan or general compensation plan prior to the conduct of DMS. SPS requires payment of compensation and other applicable entitlements to affected persons before displacement. This requirement is not explicitly stated as a condition 4 The Land Law of 2013 replaces the Land Law of Decrees 43, 44 and 47 supersede previously issued decrees related to land acquisition including Decrees 181/2004, 188/2004, 197/2004, 17/2006, 84/2007, 123/2007, 69/2009, 88/2009, 59/2011, and 189/ There are 3 types of illegally established land-attached assets: (i) those constructed on illegal land, (ii) illegally constructed structures (not based on the approved land use purpose) on legal land, and (iii) structures constructed after land acquisition announcement. 35

36 under the Land Law. The Land Law does require payment of compensation within 30 days since the effective date of a land acquisition decision and to subsequently adjust amount in case of delay in payment (Article 93, LL). SPS requires compensation to include interest accrued. However, under the Land Law the amount is kept in an escrow account in State Treasury without interest in case the AP refuses the proffered compensation. SPS requires regularly conducting internal monitoring on implementation of resettlement activities. For project with significant involuntary resettlement impacts, an external monitoring agency is required. In the Land Law, monitoring and evaluation is required in a more general term and includes all aspects of the implementation of the Land Law (Article 200, LL). There is also no requirement for independent monitoring for projects with significant involuntary resettlement impacts. 36

37 Table 15. Gaps between Government policy and ADB SPS 2009 and policy for the project 37

38 Issues Government policy ADB Safeguard Policy (SPS 2009) Project Policy Decree 47/2014/ND-CP, Article 19, Item 3: The involuntary resettlement impacts of an APs losing at 30% or more of productive ADB-supported project are considered agriculture land are considered severely significant if 200 or more persons will impacted and are entitled to livelihood experience major impacts, which are restoration measures. defined as (i) being physically displaced from housing, or (ii) losing 10% or more of Severely Affected Persons APs without LURC Compensation for structures Land Law 2013, Article 77, item 2 and article 92: Persons who has used land before 1st July 2004 and directly be involved in agriculture production on the acquired land without LURC or illegalizable will be compensated for the acquired land area but not exceed quota of agricultural land allocation. But no compensation for non-land assets in the following cases: (i) the assets subject to the land recovery as stipulated in one of items a, b, d, đ, e, I, clause 1, article 64 and items b, d, clause 1, article 65 of the Land Law 2013; (ii) the assets created after the notification on land acquisition; and (iii) unused public infrastructures and other works. Land Law 2013, Article 89, item 1: houses/structures used for living purpose will be compensated at replacement cost. Decree 47, article 9: Houses/structures used for other purposes will be compensated equal to the remaining value of the affected house plus some percentage of current value but total compensation amount is not exceed value of the new house/structure. their productive assets (income generating). Those APs without legal title to land will be included in consultations. Ensure that APs without titles to land, or any recognizable legal rights to land, are eligible for resettlement assistance and compensation for loss of non-land assets including dwellings, structures and other improvements to land such as crops, irrigation, at full replacement cost, if created before cut-off date. Rate of compensation for acquired housing, land and other assets will be calculated at full replacement costs, based upon: i) fair market value, ii) transaction costs, iii) interest accrued, iv) transitional and restoration costs, v) other applicable payments, and without deduction of salvageable materials Losing 10% or more of the household s productive assets shall be considered as threshold. Project affected people, without legal or recognisable legal claims to land acquired, will be equally entitled to participation in consultations and project benefit schemes where possible, and be compensated for their lost non-land assets such as dwellings and structures occupied before cut-off date. They will be entitled to resettlement assistance and other compensation and social support to assist them to improve or at least restore their pre-project living standards and income levels. Full compensation at replacement cost will be paid for all affected structures without any deductions for salvageable materials or depreciation, full replacement costs, based upon: i) fair market value, ii) transaction costs, iii) interest accrued, iv) transitional and restoration costs, v) other applicable payments 38

39 Monitoring No monitoring indicators indicated Monitoring indicators specified for internal and external monitoring and reporting. In case of significant or sensitive impacts, an external monitoring organization is required to conduct monitoring on RP and EMDP implementation Third-party validation of consultation related to land donations Not required. The borrower is required to engage an independent third-party to document the negotiation and settlement processes to openly address the risks of asymmetry of information and bargaining power of the parties involved in such transactions. The EA must undertake internal monitoring according to the critical indicators. Anticipated negative impacts of the project are minor, it is no need to recruit an external monitoring organization. In case of land donations involving marginal portions of land, the LIC will verify and report on the negotiation and settlement processes as part of the due diligence report. A voluntary donation form signed by the landowners, witnesses, and village leaders will be attached in the report. 39

40 D. Project Policy Commitments 97. Except for the absence of legal title to the land as an issue in compensation, there are no longer issues between the GOV and ADB on their respective social safeguards policy. In so doing, the EVN HANOI has reconciled the general policies of the GOV and ADB and commits itself that it will comply and implement the following in transparent manner: 1. Prior to DMS and Updating RP a. No land acquisition or site clearing will be done for the ROWs and towers ahead of Project implementation. Land acquisition or clearing of the ROWs will only be undertaken upon completion of payment for compensation based on updated RP duly approved by ADB drawn from detailed design of the Project. b. Permanent or temporary acquisition and/or clearing of lands that will result to physical and/or economic displacements of persons or households will be avoided or minimized, as much as possible, by identifying feasible alternatives in Project engineering design, alignment of ROWs, access roads, and work stations. c. Joint participatory consultations and meetings with Project-based stakeholders, DPs and community organizations will be carried out prior to DMS, during the updating and implementation of the RP. Women, disabled, the elderly and ethnic minorities will be invited to participate in the consultations and meetings. The comments and suggestions of the DPs will be recorded and taken into account for consideration in the updating or implementation of the RP, where legally acceptable and ethically relevant. d. APs will be systematically informed and consulted about the Project, the rights and options available to them, the proposed mitigation measures, special assistance measures to vulnerable groups and the need for the preparation of RP. The RP will be disclosed in Vietnamese to APs and APs will be involved in decision-making process concerning their resettlement issues. e. The EVN HANOI will conduct due diligence on the ownership of affected assets, with assistance from representatives of the commune or village government, and identify 100% of the APs who are severely and marginally affected by land restriction and/or land acquisition. Severely affected APs refer to affected households who will (i) lose 10% or more of their total productive land and/or assets and/or (ii) lose 10% or more of their total income sources due to the subproject; and/or (iii) have to relocate while marginally affected APs are those who lose below 10% of the same. f. DMS will use a survey tool that will enable to segregate important data on APs by gender as the basis for updating the compensation and assistance due them. g. The authority that should declare the cut-off date of eligibility of the APs who are eligible to receive compensation and assistance will be vested on the respective district resettlement and compensation committee. 40

41 h. Replacement cost surveys will be carried out as bases for compensation of APs, based on replacement costs, in compliance with the compensation policy of the GOV and ADB. 2. RP Implementation a. Compensation on the affected properties of APs will be based on replacement cost, without deduction of the following: (i) stamp, duties, fees or other payments in case of land; and (ii) depreciation and salvage value of construction materials in case of houses and other structures. b. Payment of compensation to APs will not be differentiated between the male and the female household heads. c. APs residing, working, cultivating land and/or doing business during the DMS for the update of the RP are entitled to be compensated for their lost assets, incomes and businesses at market prices prevailing at the time of compensation. d. All APs whose names are included in the list of APs before the cut-off date established by the district compensation and resettlement committee are entitled to receive compensation. DP who has no title or any recognizable legal rights to land will be compensated for non-land assets at replacement cost, and resettlement assistance. e. Special assistance measures will be provided to the severely affected APs who shall become vulnerable due to the project, with particular attention to women, children without means of support, disabled, the elderly and landless as well as ethnic minorities and people with incomes below the poverty line. Institutional APs are excluded from such receiving such assistance. 3. Management and Administration of RP Implementation a. Effective institutional arrangements and human resources for consultation, liaison, land acquisition, resettlement and monitoring will be established to ensure the efficient implementation of RP. b. Effective mechanism for arbitration of grievance redress will be established with their members from the project-based stakeholders, APs, women representatives. c. Adequate budgetary support for payment of compensation, assistance, and resettlement will be committed and timely released by EVN Hanoi to APs during RP implementation. d. Reliable and efficient database system will be established through the internal monitoring of RP implementation. VIII. ENTITLEMENTS, ASSISTANCE AND BENEFITS A. Principles on Compensation, Assistance and Resettlement 98. In order to harmonize the above-mentioned gaps between the regulations of GoV and ADB s SPS 2009, the Article 87 of the Land Law 2013 requires that For projects using loans 41

42 from international or foreign organizations for which Vietnam has committed to a policy framework for compensation, support and resettlement, that framework policy shall apply. The regulations of the Project in this RP are based on the approved Resettlement Policy Framework of the project. Details are as follows: Involuntary resettlement and impacts on land, structures and other fixed assets will be avoided or minimized where possible by exploring all alternative options. Compensation and assistance will be based on the principle of replacement cost at the time of implementation. Severely affected household is considered when they are losing 10% or more of the household s assets shall be considered as threshold. Displaced persons without title or any recognizable legal rights to land are eligible for compensation for non-land assets at replacement cost and resettlement assistance. Residential and agricultural land for replacement should be close to the previous places as much as possible and be suitable to displaced persons. Meaningful consultation will be carried out with the displaced persons and concerned groups and ensure participation from planning up to implementation. The comments and suggestions of the affected persons and communities will be taken into account. The resettlement plan will be disclosed to affected persons in a form and language(s) understandable to them. Resettlement identification, planning and management will ensure that gender concerns are incorporated. Special measures will be incorporated in the resettlement plan to protect socially and economically vulnerable groups such as households headed by women, children, disabled, the elderly, landless and people living below the generally accepted poverty line. Existing cultural and religious practices will be respected and preserved, to the maximum extent practical. Culturally appropriate and gender-sensitive social impact assessment and monitoring will be carried out in various stages of the project. Resettlement transition stage should be minimized. Restoration measures will be provided to displaced persons before the expected starting date of construction in the specific location. Budget for payment of compensation, assistance, and resettlement and support will be prepared sufficiently and made available during project implementation and by the provinces. Independent assessment of the duration and results of the land recovery should be carried out. 42

43 The EVN HANOI will not issue notice of proceed to contractors until the EVN HANOI are officially confirmed in writing with ADB that (i) payment has been fully disbursed to the displaced persons and rehabilitation measures are in place; (ii) alreadycompensated, assisted displaced persons have handed over the affected area in a timely manner; and (iii) the area is free from any encumbrances. B. Eligibility 99. Eligibility is determined regarding to the cut-off date, which was officially announced No 102/TB-UBND by the Ba Vi District People s Committee (April 14,2017). The affected persons will be informed of the cut-off date, and any people who settle in the project area after the cutoff date will not be entitled to compensation and/or assistance under the project In case of persons that the DCARB may declare as eligible persons after the cutoff date, such as: (i) person who is occupying or using the land or assets before the cut-off date but who was not in the list of APs; (ii) households separating from large families 6 ; and (iii) household who bought the affected land or property after the cut-off date. Their eligibility will be declared after verification and certification by the CPC. On the other hand, there are also people who shall be provided assistance after the cut-off date, such as, (a) newly born child, (b) people who have retired from military service and (c) people who have just returned from school to live with the affected household Any person, who encroached in the ROW after the cut-off date, will not be entitled to compensation and assistance from the Project. They will be informed in advance and required to remove the houses and/or structures before Project implementation. If all actions of diplomacy with the encroacher have been exhausted, compulsory eviction will be the solution In addition, the extent of eligibility for compensation with regard to land is determined by legal rights to the land concerned. There are three types of affected persons: (i) persons with LURCs to land lost in entirety or partially;(ii) persons who lost land they occupy in its entirety or partially who do not currently possess a LURC but have a claim that is recognizable under national laws; or (iii) persons who lost land they occupy in its entirety or partially who do not have any recognizable claim to that land. Affected persons included under (i) and (ii) above shall be compensated for the affected land and assets upon land. Affected persons included under (iii) shall not be compensated for the affected land, but for the affected assets upon land and are entitled to assistance if they have to relocate. C. Specific entitlements of APs 103. Households or individuals with sufficient legal rights for compensation will be compensated for affected land and structure at replacement cost. Those without sufficient legal rights will not compensated but assisted as described in the entitlement matrix below The unit price for compensation and assistance outlined in the following matrix can be updated during the updating RP to reflect actual conditions at the time of implementation. 6 Must be done before the cut-off date or met criteria for separating but not done before the cut-off date. 43

44 However, entitlements of APs in the updated RP cannot be downgraded compared with the original ones. 44

45 Table 16. Entitlement Matrix Type of Impact Level Of Impact A. AGRICULTURAL LAND Entitled Persons A.1 Temporarily affected agricultural land Temporary impacts on productive land Loss of use of the land for a period less than 1 year Loss of use of land exceeds 1 year. Owners with LURC, owners in process of acquiring LURC, owners eligible to acquire LURC Entitlements No compensation for land; however, the subproject will: a/ Pay the rent in cash, which will be no less than the net income that would have been derived from the affected property during disruption period. b/ Compensation for standing-crops (if any) on the borrowed land at the market price. c/ Restore of land within 1 month after using to its previous or better quality OR pay full replacement cost to the land owner if it fails to restore the affected land within 1 month after use of land. No compensation for land; however, the Subproject will: a/ Pay the rent in cash, which will be no less than the net income that would have been derived from the affected property during disruption period. b/ Compensation for standing-crops (if any) on the borrowed land at the market price; c/ Restore of land within 1 month after using to its previous or better quality OR pay full replacement cost to the land owner if it fails to restore the affected land within 1 month after use of land. OR APs can ask the Subproject to acquire permanently that affected land and compensate at replacement Implementation Issues Subproject is responsible to restore the borrowed land within 1 month after use of land or negotiate with APs to restore and pay for them. Hanoi DPMB is in charge of monitoring on restoration of the affected land. Full payment for AHs at least 03 months before site clearance. Calculation of income lost is based on the highest productivity of one crop of the last 3 years multiplied with current market price of the crop and duration of land use. 45

46 A.2. Permanently affected agricultural land Permanently affected agricultural land Less than 10 percent of total productive landholdin g affected Owners with LURC, owners in process of acquiring LURC, owners eligible to acquire LURC (44 HHs) cost a/ Cash compensation for affected area at replacement cost and provision of rehabilitation assistance package (see part C). b/ Compensation for crop, trees and others at market price B. Annual and Perennial Crops, Fruit and Timber Trees and Tree/Plant Fence Loss of annual crops Affected annual crops C. REHABILITATION ASSISTANCE Owners of crops (44 AHs) C.1 Assistance for job changing and creation Affected households with agricultural land required permanently Assistanc e for job changing and creation. If standing crops are ripening and cannot be harvested, cash compensation of un-harvested crops at market values based on the average production over past 3 years. 44 AHs Cash assistance equal to 5 times of compensation value for affected land area for the affected households and individuals who have not received cash assistance for job changing and creation, and have not allocated with commercial land, residential land or apartment. The cash assistance must not exceed 5 (five) times of land quota in locality. (Article 22, Decision 23/2014/QD-UBND by Hanoi City PC). Implemented by DCARBs If remaining land parcel is not viable, cash compensation at replacement for entire parcel. Decided by DPCs A minimum of 2 months notice to harvest crops; Owners of crops and/or trees are entitled to compensation regardless of whether they possess land use rights. 46

47 If affected person has demand for training, he/she will be entitled to a free training course C.2. Bonus for timely handing over land Affected households losing agricultural land Bonus for timely handing over land Owners with LURC, owners in process of acquiring LURC, owners eligible to acquire LURC Agricultural land owners eligible for compensation as stipulated who timely hand over land will be provided cash bonus of VND 3,000 per square meter but not exceed a total of VND 3,000,000 per land owner. (Article 23, Item 4, Decision 23/2014/QD-UBND by Hanoi City PC). Vulnerable APs (the poor, beneficiaries of social policies, woman headed household with dependents, the elderly) Assistanc e to the poor and vulnerable household s to improve their social and economic conditions. Vulnerabl e APs (the poor, woman headed househol d with depende nts) 12 AHs For the poor households, cash assistance equal to 30 kg of rice (at market price) per each family member per month for 6 months. For other vulnerable APs, assistance of VND 2,000,000 per household to improve their social and economic conditions Eligible households are those who are classed as vulnerable under MOLISA definition and 2009 ADB SPS requirements. 47

48 D. Special Considerations 105. Between the periods after the cut-off dates are established in each district towards the implementation of the updated RP, some unfortunate events may happen to any APs. One example is the passing away of the HHs who was recorded in the IOL or DMS. In such a case, the spouse will receive the compensation on behalf of the spouse who passed away before the payment of compensation. In case of death of both spouses, compensation shall be received by any of the children with written permission from his/her siblings. E. Unforeseen Impacts 106. If after the DMS and during construction when additional adverse social impacts are identified and/or additional AHs and APs are found, they are also entitled to receive Project entitlements as the others on condition that it can be ascertained that they have actually been in the Project ROW even before the cut-off dates for eligibility. New APs that will emerge due to changes in Project design or alignment prior to or even during construction works, they are likewise entitled to the same entitlements as those of the other APs. IX. RELOCATION OF HOUSING AND SETTLEMENT 107. According to the surveys carried out in December 2016, the subproject does not cause any relocated impacts. A. Background X. INCOME RESTORATION AND REHABILITATION 108. In order to assist affected persons to restore livelihoods and income levels, the project will provide income restoration allowances tailored to the needs and situation of the affected persons as determined in the socio-economic surveys. The affected persons covered by the income restoration allowances are identified in the entitlement matrix The scope of the entitlements includes an allowance to cover living costs during a period of reduced income while affected persons restore current livelihood and incomegenerating activities or make a transition to new income-generating activities. In-kind assistance to strengthen or initiate income-generating activities will also be provided In-kind assistance to strengthen or initiate income-generating activities will be decided in consultation with local authorities and affected persons eligible for the income restoration. B. Income Restoration Allowances 111. There is no severely affected household induced by the subproject; however, 12 vulnerable affected households and 44 households permanently losing agricultural land are identified during DMS process. When RP is implemented, the following regulations will be applied for these affected households: 48

49 Cash allowance for permanently acquired agricultural land as assistance for change of job: it is estimated as five times of land unit price for affected land but not exceed land quota in locality. In addition, the affected households are entitled to participate in a vocational training with exemption from the tuition fee and other supports for income-generating activities including appropriate technical support, assistance in small business planning, financial planning and to access and utilize credit, and other measures to promote existing or new income-generating activities. XI. RESETTLEMENT BUDGET AND FINANCING PLAN A. Procedures for Flow of Funds 112. The EVN HANOI/ Hanoi DPMB will bear the full cost of resettlement. It is responsible for ensuring that funds for resettlement are sufficient and are available on a timely manner. EVN HANOI/ Hanoi DPMB will disburse funds for resettlement to DPCs/LFDCs through the Hanoi City PC or directly to DPCs/LFDCs. The DPCs/LFDCs will deliver compensation and allowance of the AHs at Commune PC Office. AHs will be notified in advance on the date of payment of compensation and allowance. AHs will likewise be advised to bring with them their copy of their compensation plan. B. Cost Estimates and Inflation Adjustment 113. As shown in the table below, the overall cost of resettlement plan implementation is VND 3,327,995,055 (or equivalent to USD 146, ) for inclusion in the project investment. The EVN HANOI/Hanoi DPMB will ensure the timely provision of funds and will meet any unforeseen obligations in excess of the resettlement budget in order to meet the social safeguards objectives under the project. Table 17. Total Cost of RP Implementation No. Category Quantity Price In amount I Compensation and Assistance 2,966,127,500 1 Compensation for land 5, , , ,738,800 2 Compensation for crops 6, ,000 39,478,600 3 Support for job change 2,373,716,000 4 Assistance for vulnerable households 12 2,000,000 24,000,000 6 Bonus for timely land clearance 16,919,400 II Administration cost 59,322,550 1 Implementation cost (2%) 59,322,550 III Subtotal (I+II) 3,025,450,050 IV Contingency cost (10%) 302,545,005 TOTAL (III+IV) 3,327,995,055 USD 146,

50 Exchange rate : 1USD=22,760 VND XII. INSTITUTIONAL ARRANGEMENTS 114. Implementation of the resettlement plan requires the participation of relevant agencies from the Central to province, district, and commune level. The executing agency has the overall responsibility for implementation of the resettlement plan. A. Central Level 1. EVN HANOI 115. EVN HANOI is the executing agency, through Hanoi DPMB to manage the resettlement issues. The Hanoi DPMB is the implementing agency that is mandated for the overall management and supervision of projects funded by ODA. For the management of a particular project, the EVN HANOI creates the Hanoi DPMB within its organization that is supported by full-time qualified and experienced social safeguard specialist to manage the resettlement related issues. EVN HANOI will: Provide overall management and coordination of the project; Liaise with IAs to carry out the project; Coordinate with ADB in providing resettlement consultant services for the project; Support the Hanoi DPMB for updating resettlement plan of the project; Consolidate project progress reports on land acquisition and resettlement submitted by the Hanoi DPMB for relevant ministries and ADB; Recruit and supervise PIC for internal resettlement monitoring if this is considered necessary by the ADB; and Responsible for the resettlement budget. 2. Hanoi Power Development Project Management Board (Hanoi DPMB) 116. The Hanoi DPMB will: Actively participate in the resettlement plan updating and implementation activities in collaboration with the concerned organization at the Province, District and Commune levels; Liaise with the Provincial People s Committee (PPC) to facilitate the establishment of the CARB at the provincial/city and district levels. Provide an orientation, to the concerned People s Committees of the province/city, districts, and wards and communes, the LFDC and related groups on the project, its Resettlement Policy, process flow, and on the specific tasks of these groups relative to the updating and implementation of the district-level resettlement plan; 50

51 Take the lead in the public disclosure of the project resettlement plan in coordination with the concerned People s Committees, and participate in project information dissemination and holding of consultation meetings with affected households and other stakeholders; Monitor grievances related to the project and calls the attention of concerned government offices where complaints have remained outstanding beyond prescribed action periods; Design and implement an internal monitoring system that shall capture the overall progress of the resettlement plan updating and implementation; and prepare semiannual progress reports and internal monitoring report on RP implementation for submission to EVN HANOI and ADB; Hire and closely coordinate with a Project Implementation Consultant (PIC) that shall perform a third-party monitoring and evaluation of the RP-if considered necessary by the ADB even for the core subprojects- updating and implementation. B. City Level 117. City People s Committee: The main responsibilities of the CityPC include: (i) establishment and mobilization of City Compensation and Resettlement Board; (ii) organization and mobilization of all organizations and individuals concerning compensation, support and resettlement policies and ground clearance according to the land recovery decisions of competent State bodies; (iii) updating the unit costs to reflect the replacement cost of project-affected private and public assets; (iv) planning resettlement arrangements, job change training plans according to their assigned competence; (v) authorizing the DPC to approve compensation, assistance support to affected persons; (vi) providing guidance to concerned agencies on the neutral settlement of citizens complaints, denunciations related to compensation, support and resettlement; and (vii) resolving complaints and grievances of AHs; District and Commune Levels 1. District People s Committee (DPC) 118. The DPC will be responsible for the following: (i) extension of support for preparation and updating as well as implementation of the resettlement plan; (ii) review the accuracy of and validate the cost estimates for compensation and assistance; (iii) approve compensation plan if authorized by the city PC; (iv) acquisition of Land Use Rights Certificates (LURCs) for households and individuals who have lands and/or houses entirely-recovered; (v) adjustment of LURCs for households and individuals whose lands and houses have been partially affected; (vi) resolve complaints and grievance from affected persons; (vii) concurrence with the schedule of resettlement plan implementation and monitor the progress thereon; (viii) mobilization of the respective LFDCs that will appraise the compensation and assistance to affected persons; as well as (ix) the provisions of lands to affected persons. 2. Land Fund Development Center (LFDC) 119. The responsibilities of the LFDC will be the following: (i) organize and carry out resettlement activities in the district on behalf of the DPC; (ii) implement DMS, public consultations and disclosure activities; (iii) review and submit to DPC proposed compensation, assistance and resettlement alternatives; (iv) assist in the identification and allocation of land for the affected persons; (v) along with the WPC, assist Hanoi DPMB in the timely delivery of 51

52 compensation payment and other entitlements to affected persons; and (vi) assist in the resolution of complaints and grievances: The dissemination of the PIB and other publicity material; ensuring that affected persons are aware of the land acquisition and resettlement process. Planning and carrying out the DMS and the disbursement of compensation payments. The identification of vulnerable affected persons and the planning and implementation of rehabilitation measures for these affected persons. Help identify any resettlement sites and new farming land for affected persons who cannot remain in their present location. Assist in the resolution of affected persons grievances. 3. Commune People s Committee (CPC) 120. The CPCs will assist the Hanoi DPMB and the LFDCs in the following tasks: (i) remind the affected persons about the compensation plan and the process of delivery, income restoration plans, relocation strategies and land clearance requirements based on the approved resettlement plan; (ii) maintain the list of eligible affected persons that will be provided after the DMS has been conducted; (iii) assign commune officials to extend assistance in the update and/or preparation as well as the implementation of the resettlement plan; (iv) identify replacement lands for the affected persons; (v) sign the Agreement Compensation Forms along with the affected persons; and (vi) assist in the resolution of grievances and in other related-resettlement activities and concerns. XIII. IMPLEMENTATION SCHEDULE 121. The implementation schedule must ensure the synchronized linkage between resettlement plan implementation and commencement of civil works, i.e. the appropriate compensation schedule and construction schedule. The compensation payment shall be completed prior to the commencement of the relevant project components The proposed resettlement plan implementation schedule is as follows: Table 18. Project Implementation Schedule Main activities Time-frame Preparing RP Inventory of Losses December

53 Public meeting and consultations with affected persons on resettlement plan January-March 2017 Resettlement Plan preparation March 2017 ADB no-objection to resettlement plan April 2017 Implementing RP DMS June 2017 Updating of resettlement plan and submit to Hanoi DPMB and ADB for review and approval September 2017 Compensation payment September 2017 Site clearance September 2017 Start of civil works October 2017 Monitoring June 2017 XIV. MONITORING AND REPORTING 123. The implementation of resettlement will be monitored regularly to help ensure that the resettlement plan is implemented as planned and that mitigating measures designed to address adverse social impacts are adequate and effective. Towards this end, resettlement monitoring will be done by Hanoi DPMB. A. Monitoring and Reporting 124. The project will establish an internal monitoring and evaluation systems. The main purpose of the monitoring and evaluation programme is to ensure that resettlement and acquisition of land and properties has been implemented in accordance with the policies and procedures of the resettlement plans The objectives of the monitoring and evaluation programme are to (i) ensure that the standard of living of affected persons is restored or improved; (ii) monitor whether the time lines are being met; (iii) assess if compensation, rehabilitation measures and social development support programmes are sufficient; (iv) identify problems or potential problems; and (v) identify methods of responding immediately to mitigate problems The Hanoi DPMB shall submit quarterly reports to EVN HANOI unless either request more frequent reports. One post-subproject assessment survey will be undertaken by the EVN after completion of compensation and resettlement activities. B. Internal Monitoring 127. The Hanoi DPMB will conduct the internal monitoring of resettlement plan implementation for EVN HANOI to identify as early as possible the activities achieved and the cause(s) of problems encountered so that arrangements in resettlement plan implementation can be adjusted. Related information will be collected monthly from the field to assess the progress of resettlement plan implementation and will be consolidated every quarter An initial key indicator will be, as per assurances to the ADB, the payment of compensation, relocation to new sites, and rehabilitation assistance being in place before 53

54 award of civil contracts and these will be monitored under each of the civil contracts. The other main indicators that will be monitored regularly are: Payment of compensation to all affected persons in various categories, according to the compensation policy described in the resettlement plan. Delivery of technical assistance, relocation, payment of subsistence and moving allowances. Delivery of income restoration and social support entitlements. Public information dissemination and consultation procedures. Adherence to grievance procedures and outstanding issues requiring management s attention. Priority of affected persons regarding the options offered. Coordination and completion of resettlement activities and award of civil works contract 129. The EVN HANOI will incorporate the status of resettlement plan implementation in the overall project progress report. Internal monitoring report should be prepared and submitted to ADB on a semi-annual basis. ANNEX 1. IOL AND SES QUESTIONNAIRE SOCIO-ECONOMIC SURVEY AND INVENTORY OF LOSSES QUESTIONNAIRE Hanoi and Ho Chi Minh City Power Grid Development Sector Project 54

55 110 kv Ba Vi Substation and its Connection Line Questionnaire code: / / ; Survey date: / /2016 A-BACKGROUND INFO 1. Name of head of household:... Home address: Village:...Commune:...District...Hanoi. Vulnerable group: [ ] (Woman headed=1; Ethnic minority=2; Disabled=3; Poor household=4; Single elderly household=5; Social policy household=6; Drug addict=7; HIV=8; Others=9) 2. Household component No Name Sex 1=Male 2=Female Relation to the household head 0=head 1=Husband/wife 2=Father/mother 3=Son/daughter 4=Son-in-law/ Daughter-in-law 5=Grand child 6=Niece/ nephew 7=Others Age Ethnicity Main occupation Education level (7 and above) Skills of each member Please refer to the code list below Skills expected to be trained : Ethnicity code 2.7: Education level code 2.8: Occupation code 2.9: Skills of each member 2.10: Skills expected to be trained 1=Kinh 2=Thai 3=Tay 4=Nung 5=Muong 6=Hoa 7=Others 0=Illiterate 1=Primary school 2=Secondary school 3=Yet graduated from high school 4=High school 5=Vocational training 6=University and higher education 7=Others 1= Agriculture (farming) 2=Livestock husbandry 3=Selling goods 4=Restaurant 5=Factory worker 6=State official 7=Working for private company 8=Transportation 9= Student 10=Housework 11=Hired labor 12=Others 1=Sewing 2=Mechanics 3=Electronics 4=Embroidering 5=Others 1=Sewing 2=Mechanics 3=Electronics 4=Embroidering 5=Others 3. Housing facilities a. Source of water drinking / cooking: b. Source of water washing / bathing: 1- Tap water 5- River, lake, pond 2- Dug well 6- Public tap 3- Drilled well 7- Other (specify) 4- Rain water 55

56 c. Sanitation: d. Source of energy lighting e. Source of energy cooking: 4. Access to public facilities Facilities/Social service 1.Yes 2.No 1= under1 km 1- Pit latrine 3- Public toilet 2- Toilet in house 4- None 1- Electricity (from government) 6- Wood 2- Private generator 7- Coal 3- Car battery 8- Cylinder gas 4- Kerosene / gas 9- None 5- Paraffin / candle 10 - Other 2= from 1 to 2 km a. Health service 1. Communal health center 2. Hospital/General Clinic 3. Private medical center 4. Pharmacy b. Market c. Kindergarden and school 5. Kindergarden 6. Primary school 7. Secondary school 8. High school 9. Community college/vocational training d. Other community facilities 10. Cultural communal house 11. Pagodas, temples, churches 12. Sport center, stadium 4. Household s assets Agricultural equipment Tractor ploughing [ ] Quantity:... Tractor [ ] Quantity:... Mower [ ] Quantity:... Others [ ] Quantity:... Business equipment of the household Glass cabinet [ ] Quantity:... Table and chair (set) [ ] Quantity:... Trolley [ ] Quantity:... Others. [ ] Quantity:... Vehicles Car [ ] Quantity:... Motorbike [ ] Quantity:... Bicycle [ ] Quantity:... Truck [ ] Quantity:... Rickshaw [ ] Quantity:... Others [ ] Quantity:... 3= from 2 to 5 km 4= over 5 km 56

57 Equipment for cooking Gas stove [ ] Quantity:... Oven [ ] Quantity:... Rice cooker [ ] Quantity:... Other cooking equipment [ ] Quantity:... Electronic, refrigeration equipment Washing machine [ ] Quantity:... Fridge [ ] Quantity:... Radio [ ] Quantity:... DVD player [ ] Quantity:... TV [ ] Quantity:... Others [ ] Quantity:... General condition of house Very good [ ] Good [ ] Average [ ] Bad [ ] General condition of furniture Very good [ ] Good [ ] Average [ ] Bad [ ] 5. Living conditions of the household o Main household income sources are from: 1) Agriculture [ ] 2) Business [ ] 3) Services [ ] 4) Handicraft [ ] 5) Salary [ ] 6) Transportation [ ] 7) Livestock husbandry [ ] 8) Social allowance [ ] 9) Leasing real estates [ ] 10) Assistance from relatives [ ] 11) Hired labor [ ] 12) Other (specify) [ ] o Who are responsible for the main income sources of the household? Household head [ ] HH head+ spouse [ ] HH head+ spouse + grown up son/daughter [ ] Grown up son/daughter [ ] Others [ ] o What are the secondary income sources? 1) Agriculture [ ] 2) Business [ ] 3) Services [ ] 4) Handicraft [ ] 5) Salary [ ] 6) Transportation [ ] 7) Aquaculture [ ] 8) Social allowance [ ] 9) Leasing real estates [ ] 10) Assistance from relatives [ ] 11) Hired labor [ ] 12) Other (specify) [ ] o Total income of the household? Income source VND/month VND/year 1) Main 2) Secondary Total o Household expenditure Expenditure VND/month VND/year 1) Food 2) Healthcare 3) Education 4) Traveling 5) Festival, religion/social 6. Loans Loans Loan size/ amount Purpose 1=Agricultural production 2=Business 3=Education 4=Build/repair house 5=Other (specify) 57

58 1) Bank 2) Loan from other organizations 3) Loan from relatives, friends 4) Others 7. Balance of income and spending of household o Not saving (income is sufficient for expenditures) [ ] o Saving (income higher than spending ) [ ]...VND o Income less than expenditure B. PROJECT S IMPACTS ON LAND ACQUISITION 1. Land use situation of the household Map No. Land use (Tick the box to classify land) Number of land plot and type of land (the plot number in the Plot Column and the code for different types of land in the next column) 1=Residential land 2=Perennial crop land 3=Annual crop land 4=Pond land 5=Nonagricultural land 6=Others (specify) Plot Plot Plot Plot Plot Plot Plot Plot Total Total landholdings (m 2 ) (including both area inside and outside the project area) Impact degree Total acquired area (m 2 ) Impact degree (1=Partly; 2=Fully) Land use status (Number as referred below) 1. Land owner and using land 2. Land owner and leasing land 3. Leasing land from the government 4. Leasing from other people 5. Given by the parents 6. Others (specify) Legal title (Number by the code below) 1. Having LURC 2. Does not have LURC but have legal papers 3. Does not have any legal paper 4. Being legalized 5.In dispute 6. Having land lease contract 7. Does not have land lease contract 8. Others (specify) Types of impacts 1. Permanent 2. Temporary Impacts caused by 1. SS 2. ROW 3.Tower foundation 4. Foundation + ROW 5. SS + ROW 2. Affected houses Type of houses Total area (m 2 ) Use status 1. For residence 2. Leasing 3. For living combined with leasing Legal title 1. Have ownership certificate Impact degree (m2) 58

59 1. Villa 2. Grade 4, type 1 3. Grade 4, type 2 4. Grade 4, type 3 5. Grade 4, type 4 6, Grade 3, type 1 7. Grade 3, type 2 8. Grade 3, type 3 9. Grade 3, type Temporary house 11. Others (specify) 4. For living combined with shop 5. For business (shop) Code Is the business household registered (as for status 4 and 5) 1. Yes 2. No 2. Does not have ownership certificate 3. Being legalized 4. Only have construction permit 5. Does not have construction permit 6. Does not have any paper 7. Leasing Total affected area (m2) 1. Partly 2. Fully NB: A household can be impacted on several houses, thus it is necessary to fill full information of all affected houses. 3. Information related to houses out of the project area (if any): 3.1. No [ ]2; 3.2. Yes [ ] Number of houses: [ ] Area of houses outside the project area (m2):. m2 4. Other affected structures and facilities (List auxiliary structures separated from affected houses listed above and facilities) Structures/ Facilities Types of structures Unit Quantity 1. Kitchen separated from the main house 1. Temporary 2. Equal to grade 4 house m2 2. Livestock sheds 1. Temporary 2. Solid 3. Electricity meter Electricity meter 4. Water meter Water meter 5. Telephone 6. Fence 1. Brick 2. Steel, wire or Fence wood 7. Gate 1. Brick 2. Iron, steel 3. Wood, Bamboo m 2 8. Latrine, bathroom (separated from the main house) 1. Temporary 2. Solid m2 m2 59

60 9. Earth grave 1 Reburial 2 Not yet Grave 10. Built grave 1 Reburial 2 Not yet 11. Well 1Drilled 2. Dug m 1. Concrete 12. Water container 2. Inox m 3 3. Plastic 13. Water pipe 1. Diameter. = md?? 14. Yard (only cement or tiled) m Fish pond m Others (Name and affected area) 5. Impacts on business outside house (in the project area) Yes [ ] If yes, continue with the relevant questions below No [ ] 5.3. Type of business: [ ] (1=Company; 2=Shareholder; 3=Household) Business registration; 1. Yes [ ] 2. No [ ] Type of business: Monthly income from business: dong (Only for households whose business is affected, including business combined with house in the Section B2). 6. Trees, crops and livestock on affected area (Specifies the number, types and specifications of the original diameter of perennial crops/ timber trees; height of plants; productivity, yield, harvest time for aquatic products, plant density on the area as guided and informed by the Department of Finance. Particularly as for potted plants do not declare) Name of trees and crops Type of trees/livestock (specify) Unit Quantity 1. Annual crops M2 2. Timber trees, shade trees (list the main trees) 3. Fruit trees, industrial crops (list the main trees) 4. Livestock in pond (specify type and estimated quantity) D. CONSULTATION 1. Only for households losing productive and agricultural land If agricultural or other productive lands are affected (acquired), which compensation option does your family chooses? a) Land-for-land (if land fund in the commune is available) with equal type of land and area/nature [ ] b) Compensation in cash [ ] c) Not yet decided [ ] 2. What is your expectation concerning job changing and creating and income restoration program? 2.1. Participating in vocational training [ ] 2.2. Receiving cash and finding job themselves [ ] 2.3. Participating in job creating programs organized by the project [ ] 2.4. Not yet decided [ ] 60

61 3. Is the remaining residential land area outside the project area sufficient to build house? (Only for those affected on residential land) 1- Yes [ ] 2- No [ ] 4. If the remaining area is not sufficient for building house (remaining area less than 40m2 in the urban area and less than 100m2 in the rural area), which of the following options the household will choose for relocation? (Only for those affected on residential land) Self-relocation [ ] 4.2. Receiving resettlement land of the project and build new house [ ] 4.3. Receiving resettlement land and house of the project [ ] 4.4. Not yet decided [ ] 5. What is your plan to use compensation cash? 5.1. Building or repairing house [ ] 5.2. Buying new land [ ] 5.3. Buying other assets [ ]; Name 5.4. Investing in small business [ ] 5.5. Bank saving [ ] 5.6. Spending on children s education [ ] 5.7. Investing in agricultural production, livestock husbandry [ ] 5.8. Others [ ] ; Describe 6.At present does the family have plan to replace production/income from agricultural land and/or restore business? 6.1. No: [ ] 6.2. Yes [ ] If yes, what is the plan?: Buying new agricultural land for production [ ] Reestablishing business in the new place [ ] Shifting to business and services [ ] Opening small store [ ] Handicraft [ ] Finding new job [ ] Continue with question Others [ ] Describe 7. If the household wants to find new job, which job do you want to choose? Reason (specify) 8. Which of the following project information does the household know? 8.1. General information. [ ] 8.2. Information on resettlement site location [ ] 8.3. Information on compensation rates [ ] 8.4. Information on compensation payment schedule [ ] 8.5. Others... [ ] Specify 9. What is the source of information? 9.1. Commune meeting [ ] 9.2. From design staff of the project [ ] 9.3. From information dissemination session [ ] 9.4. From other mass media [ ] 9.5. Other sources [ ] Specify Thank you for your participation in the survey. Name of the surveyor On behalf of the household 61

62 ANNEX 2. PROJECT INFORMATION BOOKLET 1. Name of the Project: 110 kv Ba Vi Substation and its 110 kv Connection Line 2. Executing agency: Electricity of Vietnam- Hanoi (EVN HANOI) 3. Representative of the executing agency: Hanoi Power Project Management Board Question 1: What is the 110 kv Ba Vi Substation and its Connection Line Subproject? Answer: The construction of the 110 kv Ba Vi Substation and its connection line project is financed by the Asian Development Bank (ADB) and the Government of Vietnam with the aim to (i) Question 2: How the 110 kv Ba Vi SS and its Connection Line Subproject affect local communities? Answer: According to the Decree No. 14/2014/ND-CP dated 26/02/2014 on the safety protection of high voltage power grid, the subproject will cause the following impacts: - Permanently cut down trees on the affected land area; - Restriction to the use of land area/house/structure in the RoW. Details of impacts: The subproject will cause impacts on agricultural land of 506 households. The permanently acquired land area is 89 m 2 to build the connection line. Question 3: What is the main objective of resettlement plan? Answer: The main objective of the Resettlement Plan is to ensure that all APs will be at least as well-off, if not better-off, then they would have been in the absence of the Project. Question 4: What if my land is affected by the project? Answer: (i) In case the subproject acquires more land of the households, you will be offered a choice of replacement land as priority of equal area and productive capacity at a location acceptable to you OR cash compensation at replacement value at current market prices. (ii) In case the affected land is leased land, the value of land shall not be compensated but the investment costs in land will be compensated. Question 5: Do we need to have a land title in the order to be compensated? Answer: No, lack of formal legal rights to land does not prevent any APs from receiving compensation, allowances and rehabilitation assistance. Those APs who possess a land use rights certificate (LURC) or any other form of written agreement to utilise the land are entitled to compensation for the lost land as well as assets on the land. Those APs who do not have legal/legalisable or temporary/lease rights for affected land will be compensated for the assets on affected land. Question 6: Is the compensation applied for affected houses and structures? 62

63 Answer: Yes. Compensation will be applied for all affected assets including houses, stores, wells, and fences as well as other fixed assets at replacement value at current market prices without any deductions for building depreciation or salvageable building materials. This will ensure that the Affected Persons are able to reconstruct houses and other structures of better or at least the same quality as before. Question 7: What about affected crops and trees? Answer: (i) Permanently affected crops and trees will be compensated in cash at current market prices. (ii) As for trees and crops temporarily affected during construction period: - Compensation for non-harvested crops will be based on the time of impacts and the average production in the past 3 years. - Trees and crops will be compensated at market prices at the time of land acquisition. Question 8: Besides the compensation, how can the project help? Answer: In addition to compensation for loss of land and other assets, the Project will provide rehabilitation assistance to eligible APs to ensure that their standard of living is maintained or improved after the Project. Eligible APs for rehabilitation assistance include: Some affected households: these households losing more than 10% of their productive landholdings will receive the following assistances: (i) life stabilization allowances; (ii) income restoration allowances and provision of technical assistance and agricultural extension techniques to improve output in the remaining area, existing credit programs or employments related to the project; Households that relocate shall receive (i) relocation allowances; (ii) assistances to mobilize life during transition period; (iii) rental allowances at market prices. Assistance levels are identified clearly in the project policies. Business owners that lose income while they relocate or rebuild their shops/businesses: Households with small, unregistered businesses will receive cash compensation equal to the provincial minimum wage for three months. Owners of registered businesses will receive cash compensation equal to 30% of their taxed income of one year. The annual taxed income is determined in the financial reports of the previous three years. Employees and hired labors who lose their jobs: will receive cash compensation for lost salary/wages for each month they cannot work, if the loss is temporary; or, if the loss is permanent, cash compensation equivalent to the provincial minimum wage for six months or cash compensation for remaining contract period whichever is higher. Job changing allowances: As for the affected households who have or have not registered for LURC after resettlement and do not have job, if you are in 63

64 the working age, you can participate in a vocational training in the area without tuition fee. Question 9: Does that mean that anybody in our community can claim for compensation? Answer: No. Entitled APs are those persons or households that will lose land or property based on the detailed measurement survey (DMS) that will be conducted following completion of the final designs for the subproject. Affected communes and local authorities will be informed of the cut-off date (the date of DMS) for the subproject. Question 10: If there are any disagreements or problems about land acquisition, compensation or other general disputes during project implementation, do APs have the right to voice their complaints? Answer: Yes, APs can voice their complaints (in verbal or written form) to responsible local authorities and resettlement committees. Their complaints can be filed first at the ward or commune level, and can be elevated to the district and provincial level and taken to provincial court if the APs are not satisfied with the decision of lower levels. APs will be exempted from all taxes, administrative and legal fees. Question 11: How will APs be consulted and informed? Answer: A consultation and public information program will be organized in your commune to ensure that APs receive complete and timely information about the Project. APs will be provided information on project components, impacts, their rights and entitlements, grievance mechanism, rights of participation and consultation, resettlement activities, responsibilities of institutions and implementation schedule. APs will participate in resettlement planning and implementation and they will also be consulted on the following issues: a) resettlement options according to their entitlement, b) training and training preferences in current or new occupations, c) other project aspects. Question 12: As a resident in the project area, how can I help? Answer: We would like you to participate in all consultation meetings and other subproject related activities in order to ensure that you are fully informed and consulted. Your active participation during the detailed measurement survey (DMS) and implementation will allow us to determine measures to mitigate impacts, to identify problems or potentials problems and to identify ways of responding immediately to solve these problems. Question 13: How will you know if the objectives of this project are met? Answer: EVN HANOI through Hanoi DPMB will ensure internal monitoring all Project activities.. A post-resettlement impact evaluation will assess whether negative impacts have been mitigated adequately and pre-project standards of living of APs have been restored as a result of resettlement and the Project. FOR FURTHER INFORMATION AND SUGGESTIONS Please contact the PCARCs and DCARCs where you live: 1. Provincial Compensation, Assistance and Resettlement Committee (PCARC), 64

65 Address:... Person in charge:...tel District Compensation, Assistance Resettlement Committee (DCARC) of... District; Address:... Person in charge:...tel... 65

66 ANNEX 3. AGREEMENT ON ACCESS ROAD TO 100KV BA VI SS CROSSING THE IRRIGATION CANAL T4 FROM SONG TICH IRRIGATION ONE MEMBER LIMITED LIABILITY COMPANY 66

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68 ANNEX 4: LIST OF AFFECTED PEOPLE No. Name Address Note 1 Chu Công Lực Vat Lai commune AH 2 Chu Công Minh Vat Lai commune AH 3 Chu Tâm Ất Vat Lai commune AH 4 Chu Công Thanh Vat Lai commune AH 5 Chu Công Thọ Vat Lai commune AH 6 Chu Công Trình Vat Lai commune AH 7 Chu Đình Công Vat Lai commune AH 8 Chu Đình Dõi Vat Lai commune AH 9 Chu Đình Dụy Vat Lai commune AH 10 Chu Hữu Bảy Vat Lai commune AH 11 Chu Hữu Chương Vat Lai commune AH 12 Chu Hữu Hân Vat Lai commune AH 13 Chu Hữu Hanh Vat Lai commune AH 14 Chu Khắc Khẩn Vat Lai commune AH 15 Chu Khắc Quyển Vat Lai commune AH 16 Chu Khắc Thành Vat Lai commune AH 17 Chu Nhân Dần Vat Lai commune AH 18 Chu Nhân Đảng Vat Lai commune AH 19 Chu Nhân Dũng Vat Lai commune AH 20 Chu Nhân Trung Vat Lai commune AH 21 Chu Quang Ca Vat Lai commune AH 22 Chu Quang Dương Vat Lai commune AH 23 Chu Quang Khiêm Vat Lai commune AH 24 Chu Quang Mẫn Vat Lai commune AH 25 Chu Quang Nhẫn Vat Lai commune AH 26 Chu Quag Sự Vat Lai commune AH 27 Chu Quang Thành Vat Lai commune AH 28 Chu Quang Tứ Vat Lai commune AH 29 Chu Tâm Khai Vat Lai commune AH 30 Chu Thế Bạ Vat Lai commune AH 31 Chu Thế Long Vat Lai commune AH 32 Chu Thế Môn Vat Lai commune AH 33 Chu Thế Phương Vat Lai commune AH 34 Chu Thị Hiền Vat Lai commune AH 35 Chu Thị Lan Vat Lai commune AH 36 Chu Thị Lộc Vat Lai commune AH 37 Chu Thị Quyền Vat Lai commune AH 38 Chu Thị Thảo Vat Lai commune AH 39 Chu Văn Chấn Vat Lai commune AH 40 Chu Văn Chiêm Vat Lai commune AH 68

69 41 Chu Văn Hà Vat Lai commune AH 42 Chu Văn Quyên Vat Lai commune AH 43 Chu Văn Tạo Vat Lai commune AH 44 Đinh Thị Đảng Vat Lai commune AH 45 Vat Lai CPC Vat Lai commune AH 69

70 ANNEX 5: PUBLIC CONSULTATION MEETING MINUTES (SAMPLE MINUTE) 70

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74 Translation of the Meeting Minute: NEW CONSTRUCTION OF 110 KV BA VI SUBSTATION PROJECT SOCIALIST REPUBLIC OF VIETNAM Independence-Freedom-Happiness PUBLIC CONSULTATION MEETING MINUTES Time: 8.30; Date: 20 January 2017 Venue: Vat Lai Commune, Ba Vi District, Hanoi City 1. Participants Mr. Chu Danh Bau Mr. Phung Huy Kien Committee Mr. Phung Chu Chieu Mr. Phung Van Tam Position: Chairman of the Commune People s Committee Position: Deputy Chairman of the Commune People s Position: Cadastral officer Position: Village leader Representatives of the communities, affected households: 51 people 2. Consultation Topics The design consultant presents about: Objectives, location, components of the 110 kv Ba Vi Substation Subproject The environmental consultant presents about: ADB environmental safeguards policies; environmental regulations in the power sector of the Government of Vietnam; environmental impacts and respective mitigation measures (as proposed in the IEE); grievance redress mechanism when environmental issues occur. The social/resettlement consultant presents about: land acquisition impacts and impacts on assets attached to land; policies of the Government of Vietnam and local authorities as well as project policies on compensation for losses upon land recovery by the state. Land acquisition impacts in the area and compensation measures. 3. Opinions/Discussion 74

75 3.1.Regarding environmental impacts and mitigation measures - When the project is implemented, the project should commit to ensure safety regarding electricity incidents for the surrounding environment; - During construction, it is requested that the project owner and contractor are responsible for ensuring the safety of the construction site of the 110 kv Ba Vi SS for those participating in the traffic and farming activities in the surrounding area. - It is important to install adequate earthing equipment and signboards for people to know as regulated. 3.2.Regarding land acquisition and impacts on assets and policies - The compensation rates for the affected land and assets should be adequate in compliance with the local regulations; - It is recommended to acquire the remaining land area which is no longer viable for cultivation; - Adequate supports in compliance with the regulations of the Government and donor should be provided for the affected households. 4. Conclusions The Consultant has recorded all feedback and opinions of the local authorities and communities to submit to the relevant agencies and departments for consideration and solutions. Representative of the project owner Representative of community Representative of the consultant Representative of the Commune People s Committee (Singed and sealed) 75

76 Public Consultation Meeting in Vat Lai Commune, Ba Vi District, Hanoi City 76